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Risk Officer - this is a 50/50 split of Work from home and in office . Our client based in Bristol at Emersons Green near the junction of the M4 and M32 ( so commutable from Bristol ,Bath ,Chippenham ) are experts in the compliance industry; focussing mainly on the Motor Trade and Travel . They have one of the UK's largest regulatory networks with many retail sites across the UK benefiting from a range of Finance and Insurance services. By providing Appointed Representative status, they shoulder the burden of compliance ( of being Directly Authorised by the Financial Conduct Authority (FCA) ) so their customers can concentrate on running their day to day businesses Critical Competencies: 2 years' experience of working within a Risk or Compliance role. Adhere to the ethos of Treating Customers Fairly (TCF) in all work activity. Completion of the companies Compliance Training program. Good investigative and analytical skills including the ability to analyse processes and procedures against requirements and desired outcomes. Ability to be able to critically review, and make judgements on, the compliance of written and oral communications against defined criteria. Good organisational skills and ability to proactively manage workload. Good written, oral communication and presentation skills. Desirable Skills and Experience: Experience of a retail insurance environment. Experience of working with/for finance providers. Experience of working within a risk related role. Understanding of the Motor and Travel industry sectors. Understanding of how to use the FCA Handbook, and knowledge of the FCA requirements DISP, PRIN, SYSC, ICOBS, SUP and CONC. Excellent computer skills. Being able to work as part of a team. The company operates a three lines of defence model of risk management. The Risk function acts as the second line of defence, ensuring that the first line controls are effective. The Risk function is also responsible for completing 2nd line reviews on other business departments that focus on the risk of customer detriment, managing the incidents and breaches process, horizon scanning, controlling the network risk assessment, overseeing the network member onboarding process and handling regulated complaints. Key Deliverables: Managerial Support: Incidents: Complaint Handling: Second Line Reviews: Onboarding of new Network Members Thematic Reviews: Horizon Scanning: Network Risk Assessment Standard Operating Procedures Control Environment: Training and development We pride ourselves on offering continuous training & development along with career progression opportunities for all employees. Appropriate training will be provided as the role demands ensuring the individual is set-up for success. A Truly Diverse Place to Work The company celebrates the diversity of our people and we welcome applications from everyone. We believe that having a culture of inclusion is essential in delivering good results. Attracting, retaining, and developing a diverse workforce where employees feel valued, respected and empowered allows people to reach their full potential. As a business this diversity helps us to better reflect and understand our customers' needs to allow us to drive better outcomes. As an organisation, we respect and adheres to Equal Opportunities legislation and the Equality Act 2010.
Compliance Risk Management Officer sought by leading investment bank based in Belfast. Inside Ir35 - 3 days a week onsite ??????? Key Activities - Please list in order of importance/time spent (highest to lowest) Serves as a compliance risk officer for the Compliance Risk Management team for the bank responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise. In addition, engages with product and function coverage teams, in order to partner to develop and apply program solutions that meet business and customer needs in a manner consistent with the banks program framework Key Activities include: Participating in the design, development, delivery and maintenance of best-in-class Compliance programs, policies and practices for the team. Analyzing complex comparative data, preparing country and cluster-level reports related to compliance risk assessments, and monitoring of compliance related issues. Reviewing materials to ensure compliance with various regulatory and legal requirements and to ensure compliance risks are appropriately identified and addressed. Investigating and responding to compliance risk issues. Investigating regulatory inquiries, preparing required documentation, making recommendations to senior management on how to proceed, and preparing responses for the regulatory inquiries. Overseeing the monitoring of adherence to the banks Compliance Risk Policies and relevant procedures and preparation, editing, and maintenance of Compliance program related materials. Interacting and working with other areas within the bank as necessary. Keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas. Strong knowledge of the UK regulatory framework and relevant laws, rules, regulations, risks and typologies. Strong understanding of key regulatory priorities and developments impacting UK financial services firms, and ability to interpret and assess policy and regulatory changes for impact. Demonstrated knowledge in area of focus, including but not limited to compliance risk reporting, analysis and interpretation of compliance risk metrics and MI, compliance risk appetite assessment, interpretation of regulatory change, third party management compliance risk management, personal trading and outside activities. Please apply within for further details or call on Alex Reeder Harvey Nash Finance & Banking