Compliance and Risk Manager

Recruiter
Invest & Fund
Location
St Leonards on Sea
Salary
£Competitive
Posted
12 Jul 2018
Closes
12 Aug 2018
Contract Type
Permanent
Hours
Part Time
Travel
None

Invest & Fund is a fast-growing Alternative Finance business that’s intent on disrupting the residential property development finance market and has committed to building the UK’s most trusted peer-to-peer marketplace. The business is highly entrepreneurial and fast-paced, and its hallmark is a can-do, collaborative culture.

Having already lent over £45m, the business is at an exciting time as it seeks to scale and become a market leader in the provision of residential development and bridging finance. Invest & Fund are fully authorised and regulated by the FCA.

This is a fantastic opportunity to join a successful company in a fast moving and busy office environment, contributing to the overall success of a high performing organisation.

The role of the Risk and Compliance Manager is to help deliver a compliant operating environment within the business through identification, measurement/assessment, mitigation and monitoring of risk.  This will include providing advice and reporting internally on regulatory matters to senior management, working in close conjunction with the Compliance Officer and helping the business manage regulatory compliance and wider risk in an effective and controlled manner.

Key accountabilities:

  • Responsible for reporting to senior management on a regular basis on compliance matters.
  • Advising senior management on compliance with legislation, regulations, rules and standards, keeping them informed of developments.
  • Responsible for educating staff on compliance issues acting as a contact point for all queries.
  • Responsible for design and implementation of the Risk and Compliance framework and monitoring programme.

Key Responsibilities:

  • Develop, implement, manage and co-ordinate the organisation’s risk management strategy
  • Plan, review, recommend and implement systems and practices across the organisation in line with prevailing legislation
  • Establish written guidance for staff on implementing compliance with legislation, regulations, rules and standards through policies and procedures and other relevant documents
  • Conduct staff training on topical issues, oversee annual compliance refresher training and new staff induction training
  • Keep up to date records and registers, including any breaches
  • Responsible for FCA reporting and oversight of FCA and CASS breaches

 

Skills required:

  • Ability to work independently from the business in an oversight function
  • An effective team member
  • Excellent communication skills (both written and verbal) and presentation skills
  • Good judgement and ability to prioritise
  • A sound understanding of compliance laws, rules and standards and their practical impact
  • Commitment to maintaining own professional skills and knowledge, especially keeping up to date with changes in compliance laws
  • Ability to translate regulatory requirements into practical considerations and solutions for effective business operations

Key experience:

  • A proven track record working in Compliance advisory and monitoring roles
  • Regulatory experience focused on FCA rules, including CASS, AML and TCF
  • Systems & Controls and governance experience
  • An understanding of non-regulated real estate lending
  • Knowledge of article 36H and other key regulatory areas affecting Peer to Peer (P2P) and ideally some knowledge of GDPR

If you are looking for more than just a job, Invest and Fund offers a competitive salary within a friendly working environment.  To apply please send your CV by clicking the 'Apply' button.

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