Risk & Compliance Manager


REF: 3647

Risk & Compliance Manager

We are currently recruiting for a Risk & Compliance Manager to join a fast growing financial services practice based just on the outskirts of Salisbury. Working very closely with the Partners, the main purpose of this role is to safeguard the reputation of the firm and the clients’ interests. You will be able to interpret the regulatory changes to the team, and make sure risks are minimised as much as possible from a firm and a client perspective.

Duties include:

  • Proactively identify emerging risks and work with the partners to recognise the root causes, and put processes into place to stop this from happening in the future
  • Provide specialist risk advice to the team, and develop and implement policies and processes
  • Design and deliver training on risk and compliance activities to the team regularly
  • Lead and manage the day to day operations of the compliance function
  • Work as part of the Management team to support the partners in ensuring the company has adequate systems in place to meet the regulatory compliance requirements
  • Be first point of contact for any risk or compliance queries

We are looking for candidates who have a regulated Diploma within Financial Planning, or someone with a minimum of five years’ experience within the financial services industry who have specifically worked within Internal Audits, Operational Risk or Compliance. You will have knowledge of the UK Regulatory framework, and of the Data Protection systems, and you will be able to be confident in delivering information to partners, including sometimes challenging them!

Hours are Mon – Fri 9am – 5.30pm, free parking near the offices, and salary is 40-42k DOE.

To apply for this job email your details to info@requireconsultancy.com

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