Risk & Compliance Manager

Purpose: 

As part of the Risk & Compliance (“R&C”) team, assist in embedding a firm-wide risk & compliance culture by demonstrating the highest levels of integrity whilst raising awareness of regulatory compliance and risk.

Where appropriate act in an advisory capacity working closely & proactively with service lines to develop & maintain a comprehensive & robust R&C framework that continually evolves.

• Assist the R&C team and Enterprise Risk Management (“ERM”) to embed a risk & compliance focused culture across the firm.
• Assist in developing & maintaining risk, compliance & regulatory awareness across the firm.
• Assist in establishing & maintaining the firm’s strategic risk registers. 
• Provide practical, effective & business focused risk, compliance & technical advice to the Directors & service lines.
• Assist in analysing laws & regulations, identifying key changes, assessing the likely impact & provide guidance on appropriate actions. 
• Assist in the maintenance, review & update of all R&C policies & procedures at least annually.
• Assist with developing & delivering technical compliance training. 
• As required, prepare the monthly ERM meeting packs.
• Assist with identifying additions & improvements to the Compliance Monitoring Programme (“CMP”), undertake relevant monitoring tasks & produce comprehensive results-based reports.
• Assist in maintaining regulatory registers on behalf of ERM (complaints, gifts, avoidable/unavoidable losses, PI, Breaches).
• On behalf of ERM, approve new clients as required.
• Lead projects to improve standardisation of policies, procedures & form-sets. 
• Lead ad-hoc project work as required. 
• Ensure all sanctions & other relevant notices are reviewed & actioned as appropriate.
• Monitor the Compliance mailbox to ensure email traffic is dealt with in a timely & efficient manner.
• Act as Line Manager for the pan-island new business take-on team.
• Act as Line Manager for the R&C administrators.

• Has excellent interpersonal and communication skills and confidence to deal with people at all levels and to build supportive relationships with different service lines across the firm. 
• Ability to work with the business to achieve its goals within the relevant regulatory regimes. 
• Makes commercial business decisions and is resilient in the face of resistance. 
• Has excellent attention to detail and accuracy and the ability to resolve queries and issues confidently and successfully. 
• Has good time management and organisational skills with a pragmatic, solutions focused approach.
•  Is able to work independently. 
• Maintains the highest professional standards to ensure the firm is not in a position of risk. 
• Confident individual with a proactive attitude. 
• Able to multi-task and keep calm under pressure.