Compliance and Risk Manager
- Recruiter
- Clayton Recruitment Limited
- Location
- England, Tyne and Wear, Newcastle upon Tyne
- Salary
- £35000 - £55000 per annum
- Posted
- 12 Jul 2019
- Closes
- 09 Aug 2019
- Ref
- 40249
- Contact
- Simon Scott
- Job Title
- Risk and Compliance
- Practice Area
- Compliance
- Contract Type
- Permanent
- Hours
- Full Time
Compliance & Risk Manager
Newcastle
Salary Negotiable
My client is an award-winning law practice with multiple offices across Scotland and the North of England, they are specialists Lawyers in the fields of Finance and Property acting for both private and commercial clients. They are seeking an experienced Compliance Manager for their central Newcastle office.
Role of the Compliance department;
To offer 2nd line of defence to the business and have oversight of 1st line operations team, maintenance of Policies and Procedures, co-ordination of completed monthly review frameworks and compliance requirements.
Job Role and Requirements
To oversee Lender Services Practice Group monthly monitoring of activity via a Conduct Risk Framework Dashboard.
The key elements of this are as follows;
- Case reviews. A full end to end customer journey and outcome review for a sample of cases each month for each of the LSPG departments.
- Call listening, both as part of customer journey reviews and standalone. Ensures that calls are reviewed for every case handler on a regular basis.
- Correspondence reviews. A review of the use of standard and nonstandard letters
Key Responsibilities
- Provide evidence of adherence to the LSPG's policies and procedures.
- Oversee the monthly internal audit functions of all operational activities.
- Maintain the department's activity logs including the risk register.
- Ensure that each employee is aware of the importance of compliance and respects and contributes to its implementation
- Ensure all staff completes annual mandatory regulatory training.
- Oversight of Complaint handling.
- Prepare Compliance Reports to present to management / clients.
- Provide clients with monthly compliance requirements.
- Design and implement training, policies and procedures to ensure that all LSPG departments are compliant with client and regulatory requirements.
Skills and Knowledge
Desirable
- Flexibility
- An open and inquisitive mind
- Sensitivity to different cultures and the ever changing regulatory environment
- Skills and human qualities which allow to advise, train and raise awareness amongst company staff on the significance of business ethics and compliance
Essential
- Financial Services regulatory requirements
- Eye for detail
- Methodical
- Integrity
- Good communicator and mentor
Salary for this role will be commensurate with experience and they offer an exciting benefits package. This role represents an exciting opportunity to further develop your career within an ambitious and dynamic team
If this is a role that sounds of interest to you, please send your CV across to Simon at Clayton Legal on the link provided or alternatively call Clayton Legal to enquire about other opportunities. Please ensure before applying you have the prerequisite experience outlined above.
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