Risk & Compliance Manager – Financial Services
Location: Harrogate, UK
Salary: £60,000, plus benefits package
Our client is a long-established and very successful finance brokerage, specialising in a niche area of the asset finance sector.
The company is currently expanding its team, so is recruiting for an experienced and highly motivated risk and compliance manager to shape the business in the next stage of development.
This is a key role, which will work closely with the board, to ensure the business operates in a compliant manner, meets consistent external regulatory requirements, professional standards and internal policies.
• Ensure all business activities are carried out within the regulatory framework
• Advise on potential opportunities to be gained through regulatory change
• Help the business to mitigate fraud
• Liaise with lender partners, and external bodies such as FCA/NACFB
• Identify any trends or new risks to the business and make recommendations to the Board in respect of any remedial action required
• Support the board with the creation, improvement and implementation of compliance and risk policies and procedures
• Review and approve all marketing materials, presentations and websites to ensure compliance with regulatory requirements
• Conduct sales team call monitoring and highlight any training areas/areas of concern
• Review applications for new introducers of business
• Review existing introducers to ensure that they have the appropriate regulatory permissions
The successful candidate will have a background gained in a similar role, ideally with experience of the consumer credit industry, with a sound understanding of working within an FCA regulated environment. You will also need a background in compliance, with the ability to prioritise and work across multiple projects.
Phone: +44 161 486 0011