Permanent - Page 2 of 3 - Kind Consultancy

Head of Financial Crime

20 March 2025

Kind Consultancy is working with a growing FinTech business which is currently seeking a Head of Financial Crime to join them in a full-time, permanent role paying circa £100,000 with a hybrid work model based out of their London offices.

Leading the Financial Crime team, the Head of Financial Crime will hold overall responsibility for the implementation and execution of the organisation’s Financial Crime framework, including AML, CTF, Sanction Compliance, Fraud Standards, CDD, KYC and ABC, with key activities including:

Providing input to policies and suggesting policy enhancements, identifying MI reporting requirements for critical Financial Crime metrics to continuously build on the organisation’s Financial Crime defence position within the 1st line
Developing and maintaining key risk indicators to support the firm’s Financial Crime risk appetite, working with 2nd line to operationalise the risk appetite monitoring and reporting on compliance.
Holding responsibility for Financial Crime Data requirements and needs, ensuring a list of key data fields essential to Financial Crime processes are collated and maintained
Providing input and guidance to the 1st line business units for the Financial Crime Business Wide Risk Assessment
Creating and executing industry standard quality assurance frameworks to regularly assess the organisation’s position on Financial Crime
Writing professional briefings and papers to governance committees at Executive and Board level with the firm’s current state of play and providing clear plans to further enhance Financial Crime Operations
Working closely with the MLRO, providing status updates and briefing progress on new regulatory developments and Financial Crime enhancements.
Holding line management responsibility for the Financial Crime team, responsible for their performance delivery and performance management and development, providing coaching and continuous improvements with overall accountability on the delivery outputs in Financial Crime projects or workstreams.
Taking a leading role in driving change and innovation for Financial Crime projects and regulatory changes now and in the future, understanding FCA requirements and expectations within Financial Crime
Overseeing the reporting and investigation of suspicious activity reporting liaising with the MLRO

Our ideal candidate for the Head of Financial Crime opportunity:

Must hold a recognised Financial Crime qualification, holding other Banking qualifications would also be beneficial
Has in-depth operational knowledge of bank processes and key regulatory/legal issues
Possesses substantial knowledge of banking technology, payment systems and processes, telephony etc
Has extensive experience of leading and delivering SME Financial Crime teams and frameworks including compliance requirements and expectations (ideally within commercial banking)
Has extensive people leadership experience and presentation, analytical and communication skills
Is highly numerate and an analytical thinker

If you’re interested in the Head of Financial Crime position and you have the necessary skills and qualifications, please submit an updated CV today.

Director of Risk & Compliance

17 March 2025

Kind Consultancy is working with a well-established and successful Financial Services organisation which is currently seeking a Director of Risk & Compliance to join them in a full-time, permanent role, predominantly remote with once per month travel to their West Midlands offices, paying up to £100,000 dependent on experience.

The Director of Risk and Compliance will lead the risk and compliance functions working within a dual-regulated financial services environment, ensuring that the organisation meets all regulatory requirements and cultivates a robust risk culture, with key responsibilities including:

Developing, implementing, and continuously enhancing policies, procedures, and frameworks to ensure compliance with all applicable regulations.
Monitoring regulatory changes and assessing their impact on the organisation, advising and supporting the business to adjust strategies accordingly.
Owning the Compliance Management System and ensure it meets with regulatory requirements, whilst remaining fit for purpose and delivering value for the business.
Liaising with regulatory bodies in a collaborative and transparent manner (PRA, FCA, ICO, etc.), ensuring timely and accurate reporting and submissions.
Supporting the board, executives and senior management to make informed decisions that consider regulatory and conduct risk.
Reviewing, guiding and escalating issues related to new propositions, business operations and identified incidents while taking care to ensure appropriate oversight, controls, and a customer centric approach is taken.
Maintaining a horizon scanning programme, including oversight of key regulatory systems and emerging risk landscapes.
Developing and maintaining strong relationships with key stakeholders by partnering and challenging risk and compliance control environments.
Leading the continuous development and maintenance of our risk management framework that identifies, evaluates, mitigates, and reports on risks in a dual-regulated environment.
Improving or establishing key risk indicators and reporting systems to monitor and manage risk exposure against risk appetite.
Investigating any breaches of risk appetite, suggesting mitigatory actions, or amendments to the business’ appetite and tolerance.
Owning the Risk Management System and ensuring it meets with regulatory expectations, whilst remaining fit for purpose and delivers value for the business.
Ensuring that risk management processes are integrated into all aspects of the business’s operations.
Managing the day-to-day implementation of the risk software system, ensuring it remains fit for purpose, information remains accurate and up-to-date, and the business uses the system proactively.
Fostering and improving a proactive risk culture across the organisation by embedding risk awareness into day-to-day operations and strategic decision-making.
Partnering with other departments (e.g. sales, finance, operations) to ensure integrated risk management and compliance across the business.
Developing long-term strategies to enhance risk management and compliance functions, aligning with the overall business strategy.
Designing and delivering on short-term action plans to close gaps and deliver on strategic goals.
Overseeing the strategic implementation of the risk management and compliance management systems, ensuring continuous improvement and regulatory compliance.
Developing, implementing, and maintaining data privacy policies, procedures, and frameworks to safeguard personal and sensitive information.
Ensuring the business’s data handling practices align with regulatory requirements and industry best practices.
Ensuring appropriate data retention, deletion, and security measures are in place to protect personal data.
Identifying, assessing, and mitigating privacy-related risks, embedding data protection principles across the business.
Supporting the completion of data protection impact assessments (DPIAs) for new projects, technologies, and processes that involve personal data.
Leading investigations into data and security incidents and data breaches, ensuring appropriate remediation and reporting procedures are followed.

Our ideal candidate for the Director of Risk & Compliance opportunity:

Holds one or more risk management qualifications, such as IRM Certificate or Diploma (or equivalent) and one or more compliance qualifications, such as ICA Certificate in Compliance or Diploma (or equivalent) – holding data privacy and information security qualifications would be advantageous, as would a specialist certification in risk management and compliance.
Has extensive knowledge of regulatory frameworks, including FCA/PRA requirements, and experience in fulfilling the Senior Management Function 16 (SMF16) role, ensuring effective risk governance and regulatory compliance.
Has a comprehensive understanding of the UK financial services regulatory systems, including the FCA handbook, and PRA rulebook, with specific knowledge of SYSC, ICOBS, PRIN, COCON, and Solvency II/Solvency UK – working knowledge of Introducing Appointed Representatives (IAR) compliance would be desirable.
Possesses a proven track record in a senior risk management and compliance role, ideally within financial services, or a regulated environment, with oversight of multiple risk categories.
Has expertise in managing a function against budget, identifying cost efficiencies, or areas requiring additional expenditure, and expertise in in risk oversight, ensuring robust internal controls, assurance frameworks, and compliance with industry standards such as ISO 31000 (Risk Management) and ISO 27001 (Information Security).
Has strong experience in advising and influencing senior executives and boards, providing strategic risk insights and ensuring risk considerations are embedded into decision-making.
Possesses a comprehensive understanding of data protection laws (e.g., GDPR), information security standards, and governance structures to safeguard organisational data.
Has extensive experience of writing and delivering risk and compliance reporting to a Non-Executive, Executive, and Senior Management audience.
Can demonstrate an inn-depth understanding of regulatory frameworks and industry standards, ensuring the organisation meets compliance requirements and maintains effective governance structures.
Has a track record of successfully implementing and monitoring risk frameworks, ensuring robust risk controls and providing oversight across business functions.
Has very strong interpersonal and communication skills to engage with the Executive Committee, senior leadership, and external regulators, effectively articulating risk-related insights and recommendations.
Is able to assess complex risk scenarios, make informed recommendations, and drive sound decision-making within a dynamic business environment.
Has expertise in overseeing compliance and risk governance structures, ensuring alignment with best practices and continuous improvement in management frameworks.
Is able to navigate regulatory changes, business challenges, and emerging risks while maintaining a strategic, solutions focused approach.
Displays extensive team leadership skills, with ability to lead and manage a small, technical team of subject matter experts.

If you have the necessary skills, knowledge, experience and qualifications and are interested in the Director of Risk & Compliance opportunity, please apply with an updated CV today.

Transaction Monitoring Analyst

7 March 2025

Kind Consultancy is working with a succesful, growing Alternative Financial Services business which is currently seeking a Transaction Monitoring Analyst to join them in a full-time, permanent role paying up to £45,000 with a hybrid work model based out of their Birmingham office.

The Transaction Monitoring Analyst will work on a new Transaction Monitoring system, with key responsibilities including:

Processing and investigating transaction monitoring alerts generated by the new system.
Identifying potential suspicious activity, ensuring compliance with regulations and the firm’s internal processes.
Using transaction data to identify patterns, trends, and anomalies.
Sharing insights to enhance system performance and regulatory compliance
Providing feedback on the suitability of segments, rules, and scenarios to ensure an optimal balance between risk management and operational effectiveness, and on the suitability of AI-related alerts to ensure an optimal balance between risk management and operational effectiveness.
Contributing to the formation of internal service level agreements through the establishment and recording of processing times.
Providing feedback to design optimal user workflows

Our ideal candidate for the Transaction Monitoring Analyst opportunity:

Has proven experience in Transaction Monitoring within a banking or financial services environment.
Is familiar with ComplyAdvantage or similar AML and compliance platforms.
Has a strong understanding of Financial Crime regulations.
Has past experience in reviewing and optimising transaction monitoring rules and scenarios.
Has an analytical mindset with the ability to interpret complex data and identify risks.
Is meticulous with excellent written and verbal communication skills.
Is poficient in Microsoft Office Suite and relevant compliance tools.

If you’re interested in the Transaction Monitoring Analyst position, you’re based in or can commute to Birmingham and you have the skills and knowledge we’re looking for, please apply with an updated CV today.

Operational Resilience & Business Continuity Manager

6 March 2025

Kind Consultancy is working with a well-established Retail Financial Services business which is currently seeking an Operational Resilience & Business Continuity Manager to join them in a permanent, full-time role paying up to £50,000 with a hybrid work model based in their Staffordshire offices.

The Operational Resilience & Business Continuity Manager will support the organisation’s ability to anticipate, prepare for, respond to, and recover from disruptive events, ensuring compliance with regulatory expectations, with key responsibilities including:

Supporting the development, implementation, and continuous improvement of operational resilience strategies and business continuity plans across the business.
Designing and executing scenario testing exercises to assess the organisation’s preparedness for disruptive events.
Supporting business process owners with process mapping activities to ensure critical business processes are identified and protected.
Ensuring that contingency plans are maintained, regularly tested, and updated based on evolving risks and business needs.
Working with cross-functional teams to identify vulnerabilities and potential risks to business operations, developing strategies to mitigate them.
Supporting with managing risk events and incidents, coordinating response efforts to minimise operational disruption.
Ensuring all operational resilience and business continuity efforts align with regulatory requirements and industry standards.
Maintaining awareness of evolving regulatory expectations and adjusting plans accordingly.
Supporting the business in managing third-party relationships, ensuring vendors and service providers have appropriate resilience and continuity plans in place.
Providing regular reports to senior management on the state of operational resilience, risks, incidents, third party supplier assurance and the effectiveness of continuity plans.
Identifying areas for improvement in operational resilience practices, leveraging lessons learned from testing, incidents, and risk assessments to enhance the organisation’s preparedness.
Ensuring all documentation related to resilience and continuity, including annual self-assessment, policies, procedures, and plans, is current, accurate, and effectively communicated to relevant stakeholders.

Our ideal candidate for the Operational Resilience & Business Continuity Manager opportunity:

Has experience of managing operational risks within a regulated Financial Services organisation
Has an excellent understanding of Operational Resilience and Business Continuity activities
Possesses very strong regulatory knowledge, including a high level understanding of SS1/21 – Operational Resilience, TCF/Conduct Risk and AML
Is a confident user of all Microsoft Office products
Is highly organised with strong time management skills

If you are interested in the Operational Resilience & Business Continuity Manager opportunity, you have the necessary skills, knowledge and experience, and you are based in or can commute to Staffordshire, please apply with an updated CV today.

Compliance Monitoring Officer

4 March 2025

Kind Consultancy is working with a large, national Financial Services business which is currently seeking a Compliance Monitoring Officer to join them in a full-time, permanent position paying up to £32,000 with a hybrid work model requiring 2-3 in-office days per week in their Milton Keynes offices.

The Compliance Monitoring Officer will support the delivery of second line monitoring across the business, with key responsibilities including:

Contributing to the preparation of the Compliance Monitoring Plan, which is risk-based, and approved by the Group Risk & Compliance Director and Group Audit & Risk Committee.
Preparing regular, timely, relevant and concise reporting on the Monitoring findings for management, including recommendations for addressing any weaknesses identified.
Tracking and reporting on the progress of remedial actions and where appropriate, guiding management in implementing necessary improvements.
As required, acting as “Lead Monitoring Officer” to manage specific reviews and coordinate the activities of other Monitoring Officers in relation to that work.
Working closely with key business areas and stakeholders, for example the Case Checking Team, across the business to implement the agreed approach to Compliance Monitoring.
Staying updated on best practices and external developments in the area of Monitoring and ensure that learning is applied.
Undertaking special investigations as required in response to breaches or other issues arising.
Identifying and escalating at the earliest opportunity any significant regulatory issues to the line manager in a clear and accurate manner.
Conducting onsite visits as required to enable planning, testing and reporting to take place.

Our ideal candidate for the Compliance Monitoring Officer opportunity:

Must have relevant experience within Financial Services industry, with particular knowledge of mortgage services.
Has a sound understanding of FCA Regulation, including MCOB, ICOBS and DISP.
Is a team player, with the ability to work unsupervised.
Has a proven ability to build strong and effective working relationships with stakeholders.
Demonstrates consistently strong attention to detail and ability to deliver high quality written work and reporting.
Displays effective oral and written communication skills.
Has the confidence and credibility to provide appropriate and commercial challenge to the business.
Holding a professional mortgage qualification (CF1, CF6) or being willing to study for one would be desirable, as would holding a professional compliance qualification (ie. ICA Diploma or Advanced Certificate)

If you’re interested in the Compliance Monitoring Officer position and you have the necessary skills, knowledge and experience and live in or can commute to Milton Keynes, please apply with an updated CV today.

Senior Compliance Monitoring Manager

27 February 2025

Kind Consultancy is working with a succesful, growing Challenger Bank which is currently seeking a Senior Compliance Monitoring Manager to join them in a full-time, permanent role based in their West Midlands office.

The Senior Compliance Monitoring Manager will focus on delivering a risk-based Compliance Monitoring plan, tailored to the organisation’s customers and products, with key responsibilities including:

Managing delivery of the annual Compliance Monitoring plan, ensuring timely delivery of compliance monitoring activities to ensure adherence to both regulatory and internal policy
Undertaking and managing the Compliance Monitoring team in the completion of compliance monitoring activities
Producing timely management reports, identifying areas of non-compliance with internal policy, regulatory requirements and the internal control framework
Reviewing, monitoring and tracking actions from reports completed by external auditors, ensuring a timely and satisfactory closure is achieved and evidenced by an audit trail
Cultivating and developing an enthusiastic and engaging team, encouraging open dialogue with all colleagues to engender trust and drive continuous improvement.
Demonstrating creative thinking, challenging existing processes and proposing new ways of working to maximise efficiency.
Adding value by tailoring Compliance Monitoring activities to a variety of challenges as they arise and encouraging team members to do the same
Reviewing and challenging existing reporting mechanisms and formats to ensure that Compliance Monitoring reporting is engaging, visual and clearly directs the recipient to the key areas of concern or interest.
Adopting an open-minded approach to problem solving, seeking pragmatic and cost-effective solutions to business and regulatory issues and subsequently ensuring that the team measure and monitor the performance of those solutions, allowing for swift identification of ongoing and repeat issues
Representing Compliance Monitoring at stakeholder and client facing meetings

Our ideal candidate for the Senior Compliance Monitoring Manager opportunity:

Demonstrates experience and understanding of the FCA Handbook, specifically PRIN, SYSC, COCON, CONC, COBS, BCOBS, MCOB, DISP and SUP in addition to the Payment Services Regulations (PSR), with the ability to apply this knowledge to day-to-day decision making.
Has 5+ years of experience working in a Compliance role within Financial Services, with experience of managing team performance.
Is an excellent communicator, able to adapt their style to provide pragmatic feedback and guidance both verbally and in written reports
Is an engaging team leader, inspiring reports to produce high quality, value-adding outputs
Has a track record of succesful risk-based decision making, and of influencing key stakeholders to reduce regulatory and conduct risks
Is confident in managing their own workload and deliverables, ensuring high standards of quality and monitoring
Is able to interpret regulatory developments and apply them to the organisation’s activities
Holds one or more relevant industry qualifications such as the International Compliance Association (ICA) GRC Diploma (not essential but highly desirable)

If you’re interested in the Senior Compliance Monitoring Manager opportunity and you have the necessary skills, knowledge and experience and are based in or can commute to the West Midlands, please apply with an updated CV today.

Paraplanner

25 February 2025

Kind Consultancy is working with a succesful, national Wealth Management firm which is currently seeking a Paraplanner to join them in a permanent role paying £35,000 to £50,000 dependent on experience. This role will have a hybrid work model to be based out of the firm’s Wolverhampton, Stockport or Newcastle offices – candidates must be able to commute to one of these locations.

The Paraplanner will support the firm’s Financial Planners by conducting research, preparing reports, and ensuring that clients receive the best advice based on thorough analysis, with key responsibilities including:

Preparing detailed financial reports and recommendations.
Conducting research on financial products and market trends.
Assisting Financial Planners in developing client strategies.
Ensuring compliance with regulatory requirements.

Our ideal candidate for the Paraplanner opportunity:

Holds a minimum of a Diploma in Financial Planning or equivalent, and wishes to aspire to be Chartered and a CFP.
Has experience in paraplanning or similar role involving the use of Cashflow planning tools and CRM systems.
Demonstrates strong analytical and research skills.
Has good knowledge of financial products and the current regulatory environment.
Has a keen eye for detail

If you’re interested in the Paraplanner opportunity, you have the skills, experience and qualifications we’re looking for, and you’re based in or can commute to Newcastle, Stockport or Wolverhampton, please apply with an updated CV today.

Financial Planner

25 February 2025

Kind Consultancy is working with a succesful, national Wealth Management firm which is currently seeking a Financial Planner to join them in a permanent role paying £50,000 to £80,000 dependent on experience. This role will have a hybrid work model to be based out of the firm’s Wolverhampton, Stockport or Newcastle offices – candidates must be able to commute to one of these locations.

The Financial Planner will work directly with clients to understand their financial goals and develop tailored strategies to help them achieve these goals, with key responsibilities including:

Developing comprehensive financial plans for clients.
Providing advice on investments, pensions, insurance, and tax planning.
Building and maintaining long-term relationships with clients.
Staying updated on market trends and regulatory changes.

Our ideal candidate for the Financial Planner position:

Is qualified at least to a Diploma level, and is on track to be Chartered and Certified Financial Planner (CFP) or equivalent.
Has proven experience as a Financial Planner or Advisor.
Demonstrates strong interpersonal and communication skills.
Is able to quickly build trust and rapport with clients.
Is committed to and passionate about providing independent and unbiased Financial Planning.

If you’re interested in the Financial Planner opportunity, you have the necessary skills, experience and qualifications, and you live in or can commute to Newcastle, Stockport or Wolverhampton, please apply with an updated CV today.

Training & Competence Supervisor

19 February 2025

Kind Consultancy is working with a succesful, growing Wealth Management firm which is currently seeking a Training & Competence Supervisor to join them in a full-time, permanent role paying up to £45,000 with a hybrid work model requiring 2-3 in-office days per week in their Birmingham office.

The Training & Competence Supervisor will support the delivery of an effective Training & Compliance function, implementing and maintaining high standards, with key responsibilities including:

Providing compliance guidance and training to relevant employees of the business
Drafting and updating Training & Compliance policies and procedures
Working closely with the Head of Compliance to support all business areas with compliance related issues
Understanding complex management and regulatory information and translating it into easy to understand forms for key stakeholders
Conducting regular internal reviews to ensure that compliance procedures are followed
Ensuring that everyone connected to the firm’s regulated business has the skills, knowledge, and expertise to carry out their role appropriately (including non-advisory employees)
Developing clearly defined criteria and procedures, setting out the specific point when someone will be assessed as being competent.
Measuring and reporting meaningful KPI’s which reflect the needs of the business and allow for measurement of potential risk to the business.
Maintaining appropriate records to evidence compliance with the FCA’s Training and Competency requirements, documenting all aspects, from the recruitment of individuals, induction and initial training, through to attaining and maintaining competency.
Ensuring all staff (including new staff) are aware of the firm’s complaints handling procedures.
As instructed by the Head of Compliance, review any complaints against the firm and deal with them in accordance with the Regulator’s complaints handling rules

Our ideal candidate for the Training & Competence Supervisor role:

Has a background in IFA or Mortgage related work
Has significant experience of delivering training, preferably relating to compliance within Financial Services
Has an in-depth understanding of current UK Financial Services regulations
Holding a Level 4 Diploma in Regulated Financial Planning would be highly desirable

If you have the skills, qualifications, knowledge and experience we’re looking for, you live in or can commute to Birmingham and you’re interested in the Training & Competence Supervisor position, please apply with an updated CV today.

Internal Business Development Manager

12 February 2025

Kind Consultancy is working with a succesful Property Lender which is currently seeking an Internal Business Development Manger to join them in a full time, permanent role based in their North-West London offices, paying up to £50,000.

The Internal Business Development Manager will provide administrative support to the external sales team and assist in delivering excellent service across the department and to brokers and clients, with key responsibilities including:

Following up on indicative terms and Agreements in Principle (AIPs) with brokers and customers
Assessing and replying to enquiries received via telephone & online channels.
Providing accurate indicative terms or outlining accurately as to why a case has been declined.
Submitting accurate AIP submissions to credit for approval.
Packaging and submitting new applications to the Credit Analyst Team, ensuring online ID and other documents are received.
Supporting the External Sales Team with enquiries and AIPs.
Assisting the Credit Analyst team with valuation and solicitors quotes, including seeking alternative/best quotes
Sourcing and engaging with new brokers via outbound telephone calls.
Keeping data up-to-date on internal systems
Undertaking project and ad-hoc pieces of work at management request.

Our ideal candidate for the Internal Business Development Manager opportunity:

Must have 2 or more years of experience working in Financial Services.
Is a confident user of Outlook, Excel and Word.
Demonstrates very good written & verbal communication skills.
Has a track record of working well to timescales.
Holding a relevant qualification or degree level education would be desirable.

If you’re interested in the Internal Business Development Manager opportunity, you’re based in or can commute to North-West London and you have the skills and experience we’re looking for, please apply with an updated CV today.