Organisational Relationship Reports to the Compliance Director
Location: London and remote working
General Summary Working closely with the Risk and Regulation team, this role is responsible for providing support to the team in the discharge of their responsibilities to ensure the firm complies with its regulatory obligations
Essential Duties and Responsibilities:
- Financial Crime prevention strategy implementation, including more complex customer reviews to identify and exclude any false positives, sample-checking first line reviews, working with our automation partner to make these processes more streamlined and updating policies and procedures as required
- Horizon scanning – working closely with the Risk and Regulation team to ensure all relevant regulatory change is captured appropriately, classified for the appropriate action and circulated to relevant colleagues
- Regulatory Returns – collate information for routine returns and information requests and obtain relevant approvals to ensure these are submitted on time and to an appropriate quality
- Administration of the Risk Committee – including taking meeting minutes, maintaining action and decisions logs and collating and distributing papers
- Maintenance of the Risk Register – working closely with Risk Champions to ensure that risks are appropriately captured
- Regulatory liaison – maintaining record keeping standards on all regulatory correspondence and developing tracking mechanisms
- Review and present MI for committee meetings to ensure we are meeting our Regulatory Compliance objectives
- Champion ESG and Diversity & Inclusion culture – draft and implement changes to policy and procedures and monitor KPIs
- Research into regulatory regimes in new jurisdictions to support our expansion strategy
- Process documentation – ensuring the teams processes are captured appropriately and are well-understood
- Team administration – schedule team meetings, circulate packs and keep track of assigned actions
Knowledge, Skills and Abilities
- Risk Management degree or equivalent industry experience
- Demonstrable critical thinking and analytical skills
- Able to meet deadlines and set logical priorities
- Proven organisational skills
- Collaborative relationship skills
- Outstanding written and oral communication skills
- Problem-solving ability
- Attention to detail.: Excellent verbal and written communication skills