Senior Risk & Compliance Officer

Kind Consultancy is working with a well-established Retail Financial Services business which is currently seeking a Senior Risk & Compliance Officer to join them in a full-time, permanent role paying circa £40,000 with a hybrid work model requiring 4 in-office days per week in their Leicestershire offices.

Aiding the Risk & Compliance Manager, the Senior Risk & Compliance Officer will focus on ensuring the organisation meets all relevant regulatory, risk and compliance requirements, with key responsibilities including:

  • Leading risk analysis and deep dives using quantitative data and qualitative information, presenting the results with appropriate context to enable strong decision making.
  • Being an integral part of the quarterly risk management process including supporting and running risk owner meetings and preparing and evolving management reporting
  • Organising and being a member of the Risk Management Group, recording and distributing the minutes of the meetings.
  • Providing oversight, support and guidance on risk and control matters across the organisation and providing challenge to colleagues in a professional manner when necessary.
  • Supporting the RCM and Senior Team in reviewing the organisation’s important business services. This will involve testing impact tolerances and scenarios and reviewing outsourcing and third party arrangements.
  • Overseeing the process relating to money laundering and fraud systems.
  • Considering the implementation of new compliance procedures and processes in conjunction with the Risk & Compliance Manager as relates to new regulatory requirements and codes of practice.
  • Supporting and enhancing the Risk & Compliance function, identifying and demonstrating technological solutions to improve efficiency, reviewing and challenging how the risk framework operates and making suggestions for improvements.
  • Tracking risk issue remediation and delivery to ensure efficient resolution and compliance.
  • Line management of the Risk & Compliance Assistants

Our ideal candidate for the Senior Risk & Compliance Officer opportunity:

  • Has experience of Risk & Compliance related work within a regulated Financial Services environment
  • Holds GCSE Maths and English Grade A-C or equivalent (holding a Risk-related professional qualification would be desirable)
  • Has excellent communication skills (both written and verbal)
  • Demonstrates excellent attention to detail with a passion for producing quality work
  • Is flexible, positive, hardworking and reliable, with a collaborative approach
  • Is able to coach and feedback effectively – past experience of managing and leading would be beneficial
  • Has good computer skills and is a confident user of Microsoft Office products

If you have the skills and experience we’re looking for, you’re based in or can commute to Leicestershire and you’re interested in the Senior Risk & Compliance Officer role, please apply with an updated CV today.

Compliance Manager

Kind Consultancy is working with a major Financial Services institution based in London which is currently seeking a Compliance Manager to join them in a full-time, permanent role paying up to £85,500.

Reporting to the Head of Risk and Compliance, the Compliance Manager will provide assurance to senior management that the organisation is operating in a compliant manner, with key responsibilities including:

  • Ensuring compliance with all internal policies (including Financial Crime, Conduct and Data Protection), regulatory requirements (FCA Handbook and PRA Rulebook) and applicable corporate laws.
  • Carrying out horizon scanning of the regulatory environment for changes which may impact the organisation.
  • Managing, improving and maintaining the Compliance Framework by gathering insight and researching best practices, whilst ensuring it is appropriately tailored to the organisation’s objectives.
  • Conducting reporting to drive efficiencies and inform compliance reviews.
  • Reporting to management, outsourced Partners, Executive team and the Board and its Committees giving detail on compliance activity, therefore data analysis and insights is key.
  • Building relationships at all levels to achieve desired outcomes whilst delivering challenging messages.
  • Providing expert insight in understanding root cause of failure and working across the organisation to provide solutions to minimise non-compliance.
  • Contributing to the wider success of the Risk and Compliance Team by sharing outputs regarding any identified emerging trends (thematic or new risks) to ensure preventative action can be taken.
  • Represent the organisation at engagement meetings with Financial Authority partners and at external forums
  • Remaining up to date with relevant compliance topics.
  • Participating in the management of incidents through the implementation of the Incident and Crisis Management Framework.

Our ideal candidate for the Compliance Manager opportunity:

  • Has detailed knowledge and practical experience of creating and operating compliance frameworks
  • Has a good understanding of Financial Services claims processes, compensation rules and the wider UK Financial Services sector
  • Has the ability to interpret and analyse data
  • Is able to build relationships including at Executive level, whilst delivering difficult messages
  • Demonstrates strong stakeholder management skills and is able to maintain effective relationships across the three lines of defence
  • Has management experience and the ability to drive change in challenging circumstances
  • Has excellent presentational and communications skills; oral, written, report writing

If you’re interested in the Compliance Manager opportunity and you have the knowledge, skills and experience we’re looking for, please apply with an updated CV today.

Compliance Officer – Contract

Kind Consultancy is working with a Commercial Finance organisation which is currently seeking a Compliance Officer to join them on a 3-month contract basis paying up to £300 per day via umbrella.

The Compliance Officer will work with Commercial Finance businesses across the UK, actively supporting and monitoring their compliance, with key responsibilities including:

  • Ensuring firms are current with assurance requirements, assisting in the implementation of any necessary changes.
  • Completing assurance reviews for businesses looking to join the organisation, demonstrating a hands-on approach to compliance assessments.
  • Assisting the Assurance Team Lead in various tasks and activities
  • Actively contributing to the Compliance team by supporting colleagues on various tasks.
  • Providing weekly updates on progress and performance to relevant stakeholders

Our ideal candidate for the Compliance Officer contract:

  • Demonstrates problem-solving skills and is analytically minded
  • Has strong knowledge of UK regulatory requirements, including FCA regulations (CONC/Consumer Duty) and AML legislation.
  • Has previous Audit or Quality Assurance experience within regulated Financial Services – ideally with exposure to Commercial Finance
  • Has detailed knowledge and experience of identifying key Conduct and Compliance risks.
  • Has excellent communication and interpersonal skills, with the ability to effectively engage with stakeholders at all levels of the organisation and clearly and concisely convey complex information.
  • Displays exceptional attention to detail for consistently accurate compliance assessments.
  • Having past experience of auditing brokers would be beneficial, as would familiarity with competence tracking software

If you’re interested in the Compliance Officer contract and you have the skills, knowledge and experience we’re looking for, please apply with an updated CV today.

Senior Compliance Manager

Kind Consultancy is working with a fast-growing challenger bank which is currently seeking a Senior Compliance Manager to join them in a full-time, permanent role paying up to £86,000 with a predominantly remote working model requiring one day every 2-4 weeks in-office in the West Midlands.

The Senior Compliance Manager will support the Head of Compliance in designing, delivering, embedding and executing the bank’s Compliance & Conduct Risk Framework, with key responsibilities including:

  • Working with senior management to support the business in remaining compliant during strategic change, providing advice and guidance on the application of new or existing regulation.
  • Driving a positive compliance & conduct culture within the Bank.
  • Supporting the design, execution and delivery of Compliance & Conduct-owned policies.
  • Working with the first line of defence in ensuring that the bank has in place robust controls to protect the bank being used to facilitate money laundering and protect the bank and its customers against financial crime.
  • Supporting the Head of Compliance in delivering the Bank’s approved Consumer Duty plan and providing oversight and challenge to business compliance with Consumer Duty.
  • Maintaining up-to-date regulatory knowledge and awareness of industry changes in the context of the business and managing the Bank’s regulatory horizon scanning process.
  • Supporting the Head of Compliance in designing the annual compliance and conduct plan and holding overall responsibility for delivering of the plan, including thematic oversight, customer outcomes testing, BAU oversight etc.
  • Working across the 2nd line of defence, to implement and embed the Bank’s GRC system, ensuring the system becomes appropriately embedded in risk and compliance management.
  • Designing and producing clear, accurate reporting on the status of compliance framework activity for Executive and Board Committees.
  • Demonstrating a good understanding of the business and its aims and objectives
  • Leading in the design and delivery of compliance and conduct training

Our ideal candidate for the Senior Compliance Manager opportunity:

  • Has 5+ years’ experience working in a management role in a 2LOD compliance & conduct or AML function within Financial Services.
  • Has previously worked with senior management and executives to provide compliance & conduct-related support and advice to 1LOD, preferably working in a 2LOD environment.
  • Has a track record of promoting and developing a customer centric approach, with customer outcomes central to decision making.
  • Has experience of providing AML and financial crime oversight and providing guidance to 1LOD with regards to control frameworks and referrals.
  • Has written Compliance Policies.
  • Has experience of horizon scanning and of reviewing and understanding regulatory publications, including regulatory handbooks, policy statements and guidance notes.
  • Has very strong regulatory knowledge of FCA regulation and AML legislation and o key compliance and regulatory topics, including Consumer Duty.
  • Is able to understand and interpret regulations and regulatory guidance for the bank and senior management.
  • Has experience of completing, maintaining or co-ordinating Compliance MI or Committee packs.
  • Demonstrates excellent communication skills in both writing and speech, including the ability to translate complex compliance matters for a variety of audiences.
  • Has strong interpersonal and communication skills, with the ability to develop key relationships across the bank.
  • Having worked on the implementation of Consumer Duty at a comparable organisation would be highly desirable, as would past experience of delivering training on compliance, conduct and/or financial crime (including AML)

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

Compliance Manager

Kind Consultancy is working with a fast-growing challenger bank which is currently seeking a Compliance Manager to join them in a full-time, permanent role paying up to £70,000 with a predominantly remote working model requiring one day every 2-4 weeks in-office in the West Midlands.

The Compliance Manager will support the Head of Compliance & MLRO and Senior Compliance Manager in designing, delivering, embedding and executing the bank’s Compliance & Conduct Risk Framework, with key responsibilities including:

  • Supporting the 1st line on regulatory compliance, customer outcomes and financial crime.
  • Providing Compliance and Financial Crime expertise in any projects.
  • Managing the Bank’s Regulatory Management System (RMS), acting as SME on compliance and conduct matters.
  • Undertaking compliance monitoring in line with the Annual Compliance Plan, producing quality reports with clear, concise observations and agreeing actions and timescales with 1LOD. Monitoring and tracking to delivery.
  • Working closely with Internal Audit to ensure the Annual Compliance Plan compliments the bank’s Audit Plan
  • Managing the bank’s incident and breach reporting process.
  • Providing periodic and ad-hoc oversight and investigations e.g. incidents, breaches, complaints, regulatory reporting, operational risk loss events, annual product reviews, RCSAs etc. with a compliance & conduct lens.
  • Managing and monitoring compliance activity within the Bank’s GRC system.
  • Producing clear, quality compliance reports as required.
  • Supporting the Head of Compliance in the delivery of compliance & conduct-related training.
  • Maintaining oversight and sign off on behalf of Compliance on product and marketing material as well as client communications

Our ideal candidate for the Compliance Manager opportunity:

  • Has 5+ years’ experience working in a management role in a 2LOD compliance & conduct or AML function.
  • Has experience of working with senior management to provide compliance & conduct-related support and advice to 1LOD, preferably working in a 2LOD environment.
  • Has a track record of successfully promoting and developing a customer centric approach, with customer outcomes central to decision making.
  • Has previously held a role involving providing AML and financial crime oversight and guidance to 1LOD with regards to control frameworks and referrals.
  • Has experience of horizon scanning, writing or updating Compliance Policies and of reviewing and understanding regulatory publications, including regulatory handbooks, policy statements and guidance notes.
  • Having worked on the implementation of Consumer Duty at a comparable organisation would be highly desirable experience, as would having delivered training on compliance, conduct and/or financial crime (including AML) is desirable.
  • Holds strong regulatory knowledge of FCA regulation and AML legislation and of key compliance and regulatory topics, including Consumer Duty.
  • Is able and willing to understand and interpret regulations and regulatory guidance for the bank, including senior management.
  • Has excellent communication skills, both written and presenting. and strong interpersonal and communication skills, with the ability to develop key relationships a business

If you’re interested in the Compliance Manager opportunity, you are based in or can travel to the West Midlands and you have the skills and experience we’re looking for, please apply with an updated CV today.

Assurance Officer

Kind Consultancy is currently working with a national Financial Services network which is currently seeking an Assurance Officer to join their Compliance team, on a full-time, permanent basis with a remote work model.

The Assurance Officer will report to the Assurance Team Lead and actively support and monitor network-member businesses, conducting Assurance meetings and upholding the professional standing of the network, with key responsibilities including:

  • Ensuring that Member firms are current with Assurance requirements and assisting in the implementation of any necessary changes.
  • Conducting assurance reviews for applicant members, demonstrating a hands-on approach to compliance assessments.
  • Answering calls on the compliance line, providing direct support to members navigating compliance inquiries.
  • Assisting the Assurance Team Lead
  • Contributing to a culture of training and development through educational initiatives
  • Actively contributing to the compliance team by supporting colleagues

Our ideal candidate for the Assurance Officer opportunity:

  • Has previous exposure to Commercial Finance, audits, reviews and Financial Services regulations
  • Is familiar with Information Technology, including competence tracking.
  • Can quickly understand and analyse complex information.
  • Demonstrates good problem-solving skills.
  • Has strong verbal and written communication abilities, able to clearly and concisely convey information.
  • Displays exceptional attention to detail for accurate compliance assessments.
  • Has a track record of thorough documentation and record-keeping.
  • Has a strong customer service mindset for member support.

If you’re interested in the Assurance Officer position and you have the skills and experience we’re looking for, please apply with an updated CV today.

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