Job Description

Meraki Talent are working with a Surrey based circa 500 employee financial services business to help them identify a Group Risk and Compliance Officer managing two Risk & Compliance Analysts.

You will have responsibility for all risk and compliance matters within the Group. Support, influence and work with Senior Leadership Team and operational managers to ensure that all compliance matters are implemented and effective. Liaise with key stakeholders across the business to identify training needs in terms of compliance to meet mandatory and regulatory requirements and deliver the objectives and values of the organisation. To assist in developing a strategic approach to risk and compliance across the Group.

To ensure that the function is effective in delivering appropriate advice, guidance and challenge to the business in ensuring risks and regulatory requirements are met.

To be a trusted advisor to the business to achieve good customer outcomes and positive regulatory relations.

Working with the business to ensure that all regulatory, operational and conduct risks that impact the group have been identified, assessed and have appropriate controls that are appropriately monitored (including FCA and SRA regulatory oversight).

To ensure that relevant Group Policies and Business Standards are up to date and used within the business.

Oversee and control recording and monitoring of regulatory submissions including:

• Complaints
• Conflicts of Interest
• TCF and Conduct Risk
• Gifts and Hospitality
• Financial Promotions
• Horizon Scanning
• Errors & Omissions
• Risk Events and Breaches

We are looking for:

• Minimum 5 years’ experience in a Risk and Compliance field.
• Project management experience ideally in risk and compliance
• Current knowledge of the regulatory environment, including the FCA handbook and how regulators operate.
• Ability to apply regulatory process in a practical way to be business processes and controls.

Hybrid working 2/3 days a week in the office, Salary circa £65,000 - £80,000 per annum.