Risk Manager – Regulated Sales recruitment

Core accountabilities

Day to day activities 40%

To provide risk management support for the regulated business i.e investments in areas including regulatory risk, operational risk, client due diligence, anti-money laundering, fraud, and credit risk to ensure that all key objectives are met. Ensuring appropriate assurance is provided internally to business management and externally to areas such as, Compliance, Monitoring and Oversight and Internal Audit.

Risk management 35%

Providing appropriate assistance to managing key risk processes and specific risk situations; cascading reminders of policies and procedures; providing support to staff in the business, ensuring they are risk trained and managing their own risk responsibilities appropriately.

Objective setting⁄decision making 10%

The role holder should be able to identify any corrective actions that must be undertaken as a result of a regulatory visit or

Business change request and be accountable for the accuracy of the outputs of any remedial action and accountable for

Regulated risk manager

Development⁄coaching 10%

Provide timely feedback, high quality coaching and assistance to advisers and Supervisors⁄Regional Sales Managers. Travel is likely to be necessary.

Training and support 5%

Be accountable for the organisation of and accurate completion of new entrant assessments and for the sign off first and second line supervisors. Represent the regulated arena in risk meetings liaising with other stakeholders to review current processes, procedures and standards while regularly monitoring and evaluating the success criteria for all field based activities.

Supervisory responsibilities

Role holder will need to be objective in the management of risk issues and be able to take an independent view. Strong analytical skills are essential, as well as a need for thoroughness. Strong communication skills are essential in order to communicate with people at various levels within the organisation and within various departments or other parts of the group. The role holder will have the ability to take responsibility for actions and to support the TC manager when necessary.

Key clients (internal and external)

Mainly internal clients, International Investment Advisers, Regional Sales Managers, Head of Regulated Sales, Head of Sales, Monitoring and Oversight, Compliance, contact with clients may be required

Role requirements

Professional⁄technical experience

The role holder will have a solid understanding of the regulatory business and principles of risk management (specific offshore knowledge advantageous but not essential). Experience in other risk management and⁄or compliance roles is desirable. The right candidate will contribute positively to the organisational culture by demonstrating the guiding principles at all times. In addition, the role holder will demonstrate awareness and adherence to all regulatory requirements, following best practice processes and procedures, displaying professionalism at all times. The right candidate will establish and maintain knowledge within their professional area of expertise, to ensure technical ability is relevant and up-to-date, enabling successful performance in the position.

Academic and professional qualifications

The right candidate will have experience within the financial services industry and must have qualifications in financial planning by achieving full CEFA, CFP or a recognised industry equivalent qualification.

Personal attributes

Flexible and professional under pressure, the right candidate will have excellent time management skills, be focused on personal objectives. The right candidate will understand what success looks like and will continually seek improvement. The ability to build and maintain effective internal relationships is also essential and the right candidate will be a team player who works collaboratively with others and builds early rapport.