Risk & Compliance Officer - Investment Bank

Axon Moore ,
Manchester, Greater Manchester
More Details
Salary: £65000 - £85000 per annum, Benefits Significant Bonus + Benefits

Overview

Axon Moore has been engaged by an award-winning investment bank as it looks to appoint a Risk & Compliance Officer to be based in their Manchester office. With a fantastic track record, market leading position and interesting corporate journey, the firm has gone from strength to strength, growing both organically and through M&A activity. Culture is key here, with a focus on hiring, enabling and rewarding talented and driven professionals. Working closely with the finance team, reporting into the European FD and Group CEO, the Risk & Compliance Officer will develop a positive compliance culture including the provision of proactive advice and guidance (in liaison with advisers) to ensure an awareness of compliance and risk management is embedded throughout the business functions and is an integral part of all decision making. This will include constructively challenging and contributing to the business planning process developing relevant strategies and drive the formulation of compliance strategy, budgets, policies, and procedures. This is a senior role suitable for an experienced Risk and Compliance professional with a proven track record in Financial Services. Key Accountabilities Regulatory Policy: Provide oversight on all regulatory standards and policies in accordance with the rules and guidance of the FCA and to provide a compliant framework Provision of technical advice and guidance to directors, senior management and all business areas Oversee the establishment of appropriate policies and procedures to ensure timely identification of regulatory requirements and guidance issued by the FCA Routinely review compliance operations and procedures to ensure these are efficient, client focused and fit for purpose Risk Management: Oversee the risk management approach and structure to achieve compliance with the risk management approach determined by the parent company Identify emerging compliance risks by closely monitoring regulatory developments and internal and external business initiatives Compliance Monitoring: Oversee the annual compliance monitoring plan strategy, activities, procedures and resources, ensuring that risk-based monitoring activity is carried out in accordance with the annual monitoring plan Maintain an effective and robust process for independently assessing the quality of advice provided to clients against defined business standards and regulatory requirements Management Information: To ensure the provision of good quality Management Information and reporting to the Executive together with recommended solutions for issues identified To ensure all risks of a significant nature and impact are reported to the Executive Relationships, Both Internal and External: Internally - with Regional Managers, Senior Functional Managers, Directors, Risk Management Committee and Executive Externally – the FCA, 3rd Party Suppliers, Platform and Product Providers Knowledge, Skills and Experience Strong academics Experience in a senior risk/compliance role preferably within an FCA environment A risk specialist with experience of developing a regulatory support and advisory function Experience of strategy interpretation and delivery Strong understanding and delivery of Corporate Governance Capable of building a strong relationship with business stakeholders and delivering a proactive programme of regular advice and practical support for all areas of the business Proven track record of delivering operational change and improving standards Project leadership skills and a proven leadership and credibility with directors and senior management Capable of interpreting and delivering operational and strategic advice on regulatory developments processes and standards Drafting skills – the ability to write documents, correspondence, briefing notes and procedures in a clear and concise format This job was originally posted as www.totaljobs.com/job/89680463

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