Risk and T & C Officer

Compliance

Reference ID

AL986

Category

Compliance

Salary

c£35,000 + benefits

Contact Person

Angela Liscombe

Job description

Risk and T & C Officer

Nottinghamshire (our ref AL986)

Salary c£35,000 + benefits

 

My client, an established Wealth Management organisation has an opportunity for an experienced Risk and T & C Officer to join their team.

 

Key Responsibilities and Accountabilities:


Risk

 

  • Responsible for the completion of the Compliance Monitoring Program, including staff performance records
  • Maintain the accuracy of company risk registers and records
  • Review and embed through coaching, company risk procedures
  • Support with client complaints, company breaches and access requests
  • Produce monthly risk MI
  • Update the annual MLRO and Compliance Report
  • Respond to the regulator when required
  • Become a subject matter expert in key risk areas such as SM&CR, GDPR, AML, MifiD and Product Governance
  • Review policies, systems, processes and effectiveness of systems and controls
  • Co-ordinate the PII data prior to renewal
  • Undertake thematic reviews of risk based upon responses to MI and business need
  • Keep abreast of industry changes and regulation

 

T&C

 

  • Ensure all record keeping is up to date for the business
  • Produce MI highlighting trends for the Financial Planners
  • Supervise the Financial Planning team by performing 1:1s and creating Training and Development Plans
  • Update and maintain the T&C schemes and necessary documents
  • Work with Head of Advice and Risk to recommend necessary actions
  • Conduct thematic checks to help embed any process or change.
  • Coordinate and manage the recruitment process for other hiring managers
  • Welcome all joiners to the company by overseeing and coordinating their inductions
  • Ensure all leaver and joiner processes and records are accurate, coordinating their journeys

 

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications within 10 days.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us.  Full Privacy Notice can be found on our website.

APPLY HERE NOW
 I have read and accept the  Website terms of use and Privacy Policy and consent to receiving information from North Oak Recruitment Limited.