We are looking to recruit an experienced Risk and Compliance Advisor to join a top-tier Financial Services organisation. In this role, you'll collaborate closely with the Advice team, playing a key part in identifying and evaluating risks, ensuring regulatory compliance, and supporting the development and execution of robust control measures.
Key Responsibilities:
- Act as the first point of contact for Advisors, Associate Advisors, and Front Office leaders, assisting in identifying, managing, and mitigating risks across daily operations.
- Oversee second line of defence activities, including ongoing risk and compliance evaluations, to ensure the business properly identifies, evaluates, records, and manages risks while adhering to regulatory obligations.
- Review and challenge business practices, strategies, and procedures to ensure alignment with risk and compliance standards.
- Establish and maintain strong working relationships with key stakeholders to promote a culture of risk awareness and compliance.
- Help the business effectively integrate risk, compliance, and control frameworks into daily processes, ensuring adherence to company policies and regulatory requirements.
- Monitor and review risk registers, compliance plans, and procedures to maintain accurate oversight of incidents, breaches, and regulatory obligations.
- Support governance processes by participating in relevant committees and providing risk and compliance expertise across business units when needed.
Skills and Experience:
- Previous experience in risk, compliance, within the financial services sector
- Proven track record overseeing advice operations, including monitoring and conducting file reviews,
- Hands-on expertise in risk and compliance management frameworks and processes.
- Ability to manage relationships with key stakeholders effectively.
