An established, global FS business with major UK growth plans and an exciting expansion project in progress. Now looking for a Head of Market and Liquidity Risk to further support this growth in a hands on role, managing and overseeing Market and Liquidity risk strategy and policy. Key Responsibilities include: Support business leaders in embedding a risk culture and risk management practices that are customer focused and help to deliver business objectives Provide independent challenge to Treasury & Finance to ensure the business adheres to Regulatory requirements Develop a plan for the Market & Liquidity Risk function that is aligned to the Risk department plan that delivers cost effective performance and drives continuous improvement Recommend triggers and limits and oversee risk appetite reporting to the Board Consult with business leaders in Treasury & Finance, the Risk Leadership Team and the Chief Risk Officer to develop policy and risk appetite for recommendation to the Board Oversee the implementation of the approved market & liquidity risk policy and risk appetite of the Board into policies, processes, systems, model and limits Lead the process for ensuring all market & liquidity risk policies and risk management procedures are reviewed, maintained and developed in response to ongoing change in the business and external environment and to meet regulatory standards Ideal knowledge and experience for the role include: Strong background in Market and Liquidity Risk Track record of successfully developing, implementing and maintaining Market and Liquidity risk strategies and policies Experience in a Retail Banking / Consumer Lending environment is essential Strong technical and systems skills including ALMIS would be beneficial but not essential Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
A leading global investment management business are looking to recruit an experienced Head of Financial Crime (D.MLRO) to join their growing business. You will be responsible for providing an advisory function to the business covering Policy, Governance, Assurance and managing a team. This role will focus on providing an effective financial crime framework, overseeing the development of Financial Crime governance arrangements. Establish an effective financial crime compliance framework, overseeing the development of financial crime compliance governance arrangements Establish, maintain and monitor financial crime controls in support of the business strategy Coordinate the assessment of financial crime risks (ABC, Fraud, AML and CTF, Sanctions and Tax Evasion) Monitor and assess Risk Appetite Assess the impact of emerging regulation and legislation Deputise for the Director of Financial Crime Compliance/MLRO Prepare and submit financial crime management information to senior management and relevant Committees and Boards including the annual MLRO and financial crime reports Provide oversight of financial crime policies, processes, systems and controls Liaise with Law enforcement Support and provide SME input into all types of Financial Crime training Establish a credible profile as a senior member of the financial crime team Requirements: The ideal candidate for this role will have operated as a Financial Crime Manger/ Deputy MLRO within a global business covering a 2nd Line function. You will have a high level of knowledge of Financial Crime Compliance Policy, Assurance and Governance Frameworks. You will have experience of managing a team on a day-to-day basis, resource management and workflow allocation. You will be comfortable engaging with senior stakeholders and operating within a global, fast paced organisation. This is a fantastic opportunity to join a highly engaging and market leading organisation. The organisation offers strong growth potential and further progression
An established, global FS business with major UK growth plans and an exciting expansion project in progress. Now looking for a Head of Credit Risk to further support this growth in a hands on role, managing and overseeing credit risk strategy and policy. This Client does not provide sponsorship. Key Responsibilities of the Head of Credit Risk: 2nd Line of Defence role Develop and maintain credit risk strategy and policy Have an awareness of overall frameworks Aim to optimise Credit Risk management to facilitate the business' expansion plans Oversee credit risk model development Develop strong internal and external relationships Ideal knowledge and experience for the Head of Credit Risk role: Strong background in Credit Risk Management Track record of successfully developing, implementing and maintaining Credit Risk strategies and policies Experience in a Retail Banking / Consumer Lending environment is essential Strong technical and analytics skills would be beneficial but not essential (eg. SAS, SQL, credit risk model / scorecard development) Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
The Client We have been engaged on an exclusive basis to recruit a Head of Compliance on behalf of an established and fast growing Financial Services firm based in London. The company are a market leader in their field offering FCA Umbrella services to Appointed Representatives with industries ranging from VC firms, Fund Managers, Managed Accounts (trading Futures & Options) to other industry sectors. This is an exciting opportunity to join a growing business who will offer the successful candidate an opportunity to develop their skills further within a dynamic and rewarding environment. The Role As Head of Compliance, you will be responsible for providing oversight of all compliance related duties. Example of duties: Member of the Executive Committee Developing and improving compliance controls currently in place including periodic monitoring. Supervision and direction of staff deployed in compliance related role. Design and implementation of assurance related work Reviewing legal agreements and providing comments to in-house counsel Reviewing and approving marketing materials in line with FCA rules Creating, developing, implementing compliance policies and procedures. Keeping abreast of and updating the business as required on regulatory changes that affects the business Being a member of the Risk Committee and assisting in setting out the Firm's risk appetite and reviewing the firms risks on a quarterly basis, providing recommendations Categorising Appointed Representatives according to the company's compliance risk appetite. Desired Skills & Experience This company are a collegiate and commercial business and if you are someone who can not only understand a broad range of regulation/compliance oversight, but also realise the commercial needs of their clients, you will succeed in this role. The business requires someone who is very comfortable and enjoys working closely with senior stakeholders ranging from CEO's, traders, MD's of their Appointed Representatives. The ideal candidate will have operated as a Head of Compliance/CF10 likely within an Investment/Fund or VC business. The company have an aggressive growth strategy and want someone to come on board and be a part of that.
The Client- My client is a leading professional services firm; they are recognised for their commitment to delivering an outstanding quality of client service, and enabling people to excel in everything they do. The role- The Corporate Finance Advisory (M&A) team provides corporates, private equity houses and other clients with a full suite of M&A services advising on acquisitions, divestments, joint ventures, buy-outs and licensing, a significant number of which are cross-border or international in nature. The team's expertise extends across the full range of sub-sectors including Chemicals, Industrial Products, PPP, Energy, Automotive and A&D. The team has enjoyed significant success and is seeking to expand with the recruitment of highly driven and motivated individuals at Assistant Director/experienced manager level. Responsibilities The role will have responsibility for: Working across the Industrials sub sectors on a range of buy-side and sell-side transactions Assisting with day to day management of transactions which includes preparation of information memoranda, management presentations, valuation analysis and taking responsibility for preparation of information and client communications Industry research for both deal origination and transaction analysis Valuation work and Financial modelling Contribution to marketing and business development opportunities To have a broader perspective of potential issues encountered when managing diverse teams and the strategies to overcome them; have a clear understanding of the firm's commitment to creating a more inclusive culture Requirements To qualify for the role you must have: ACA/CFA (or equivalent) qualification (not essential depending on other experience) Ideally some transactional experience gained on client engagements or on secondment Excellent numeracy skills with keen attention to detail and the ability to absorb and analyse large amounts of data quickly Client focus, with ability to work quickly and establish effective working relationships Enthusiasm for and ideally previous exposure to the Industrials sectors Excellent oral and written communication skills Logical and methodical approach to problem solving Project management and organisational skills Ability to undertake detailed financial/commercial analysis for inclusion in client reports The self-confidence/appetite to be involved in business development activities Ability to develop, coach and motivate junior members of the team
A role of Part-time Head of Compliance (3 days a week) has become available for a boutique Wealth Management business in West London. The main responsibilities would include: • Oversee the Compliance function to make sure full compliance with external regulations, internal procedures and efficient operational standards; • Make sure the business maintains effective systems and controls through provision of adequate compliance resources, strategies, polices, monitoring programmes, compliance reviews etc.; • Accountable for the effective delivery of Compliance Advisory, Assurance, Policy and Framework activities; • Contributing to providing positive compliance environment in the business; • Responsible for building and oversight of businesses financial crime function (systems and controls) as an MLRO; • Responsible for oversight and implementation of AML, Anti-Bribery, Fraud, Cyber-crime and other relevant systems & controls; Key requirements: • 7-10 years of previous experience in relevant industry; • Previous CF10 / CF11 holder and relevant experience; • Proven ability to consistently make practical decisions; • Strong analytical and research skills; • Strong stakeholder management skills; • Excellent communication skills (verbal and written).
City of Leeds, UK
Job Description: My client is long established and well regarded and the UK's largest provider of debt advice. They are looking to recruit a strong leader in an exciting new leadership role based centrally in Leeds. This is a crucial role in influencing the success of their ambitious growth plans by leading and promoting a culture of effective risk management, enhancing the firms risk management strategy and further embedding the framework across all categories of operational risk. Reporting to the Director of Risk and Compliance and being a part of the groups Senior Leadership group, you will provide oversight and expertise to challenge and effectively manage strategic, operational, regulatory and business continuity risks across all the Group entities. Key responsibilities include: Overall responsibility for the risk management framework, policies, processes and systems across all risk categories. Lead the enhancement of the extant risk management framework, policies and procedures to ensure effective risk oversight that meets regulatory requirements. This will include the development of an approach to control self-assessment. Develop a conduct risk framework for the group and its subsidiaries in line with recognised good practice. Build and maintain strong relationships with key stakeholders across the group entities Where appropriate, build and maintain relationships with third parties, including regulators, suppliers and professional bodies. As part of the groups senior leadership group, work to embed a risk culture and risk management practices that are focused on helping the group to achieve its ambitious strategic objectives. Develop a plan for the risk team that is aligned to the functional plan that delivers cost effective performance and drives continuous improvement, efficiencies and increased productivity. Lead, motivate and develop the capability of the team to achieve delivery of the team plan. Provide expert guidance on all aspects of risk management and categories of risk, assessing emerging internal and external threats and opportunities. Implement a programme of on-going support and guidance to the Senior Leadership Group in respect of their understanding of, and adherence to, the Group Risk Management Framework to deliver fair client outcomes. Monitor risk information provided from risk and control data and from business areas, challenging the adequacy and completeness of the information generated, driving recommendations for improvement and obtaining management agreement to their implementation. Develop and maintain a detailed understanding of business strategy, tactical plans and performance to ensure all risk impacts are identified, assessed, and mitigated in line with the Group's overall risk appetite. Ensure an effective risk assessment and reporting framework is in place to facilitate proactive management of business risks and the reporting, escalation and resolution of issues identified. Lead Risk's input on new initiatives and sponsor relevant Risk projects and lead risk oversight of business change processes. The Person: Significant experience of risk management techniques (operational, business continuity, conduct, strategic etc) in a large to medium sized enterprise A confident communicator at senior management and executive level Highly developed stakeholder management expertise Knowledge of financial services and preferably the debt management sector. Salary is commensurate with experience but will reflect the significance of the role. The role also comes complete with a generous benefits package
A newly created role due to further growth and success of the business. The objective of this role is to lead the Compliance team and to provide advice and guidance to key stakeholders and lead a team of Risk & Compliance partners to ensure that risks and issues across all businesses are appropriately identified and managed. Responsibilities: Engage with stakeholders on BAU and change activities within the business to ensure compliance if maintained and developed Manage the implementation of the compliance framework across operational and change activities Lead and motivate the compliance team in their advisory and assurance activities and personal development Work with stakeholders, directly and through the compliance team to propose and agree actions required to mitigate key risks Provide advice and support which enables management to make informed decisions which reflect regulatory expectations and risks Enhance and maintain an effective compliance culture Lead and oversee delivery of Compliance training and awareness activities Leading the Business Risk and Sales Quality Teams to provide assurance to the business Represent compliance at relevant meetings and committees and third party providers and partners Key Competencies: Strong technical background of FCA regulatory requirements across General Insurance - ideally in a distribution company Strong understanding of a range of compliance frameworks Strong communication skills, both orally and in writing across all levels of management Ability to build successful relationships with a number of senior stakeholders Ability to operate effectively within a fast paced organisation Ideally have experience of advised sales processes
A leading consulting firm is looking to hire an Assistant Director in its Valuations team focusing on contentious valuations work. The role: Managing major contentious valuation assignments Working on cases from initial client meetings through to delivery of Expert Reports for the Court / Tribunal and assistance in preparing the named Expert and legal team for trial / hearing Developing target client relationships in order to further develop the Contentious Valuation business and their career To have a broader perspective of potential issues encountered when managing diverse teams and the strategies to overcome them; have a clear understanding of the firm's commitment to creating a more inclusive culture Previous experience: Experience of working on contentious matters, i.e. preparing reports for service at Court and/or an Arbitral Tribunal Strong experience of preparing valuations either for commercial or contentious matters. Exceptional analytical and oral and written communication skills with a strong attention for detail Ability to take complicated analysis and to present and communicate it in a concise and clear manner Client focus, with ability to work quickly and establish effective working relationships Logical and methodical approach to problem solving Project management and organisational skills Appetite to be involved in business development activities
A leading consulting firm looking to expand their Corporate Finance team in London with a specific focus on Government & Infrastructure clients. The team delivers a wide range of corporate finance advisory services to public and private sector organisations. The group works across a range of sectors, including energy, defence, transport and public services. The services include: Procurement advice to government for public private partnerships (PPPs), project finance, outsourcing and other service contracts between the public and private sectors; Advice to private sector organisations bidding for government contracts, including financial modelling, finance raising advice and negotiation support; and Renegotiation, refinancing and restructuring of existing contracts. Key Requirements - Experience in a finance focussed role within government, a private sector bidder or another advisory firm working on one or more of: PPP, project finance, outsourcing, franchising or similar service contracts; A strong understanding of the financial and commercial aspects of government infrastructure and/or service contracts; Experience of working with financial models; An understanding of public sector procurement procedures; Strong written English skills; and A strong academic record, including a minimum of 2.1 degree or equivalent. The following experience and qualifications would also be beneficial: Experience of designing and building complex financial models; A recognised accountancy or relevant financial qualification (full or part qualified); Experience of business case and/or report writing; and Experience of working with contractual documentation for government infrastructure and/or service contracts. Required personal attributes include: Dedication to delivering quality results; Ability to multi-task and appreciation of the commitments to working within an advisory practise; A logical and methodical approach to problem solving, with an ability to think laterally; Good project management skills and an understanding of governance requirements and risks; The confidence to work effectively with clients; and Excellent interpersonal skills and ability to work within a team. The primary location will be London. The individual may be required to spend time working in other locations in the UK for extended durations as required by clients and projects.
A successful consultancy are looking to recruit a highly motivated and well organised individual to lead the Property sector within the firm and to assist the Owner managed Business team. This will include development of the market offering and profile of the business within this sector and will have responsibility for managing the overall delivery of services within this sector. Within Property taxes, the tax advice can vary from assistance on the SDLT on the acquisition of a new property, advising international investors on their structures to review and implementing structures for property developers and advising intermediaries and advisers. Duties and accountabilities: Take ownership for the operation of the team/work/portfolio, relevant work processes and the effective delivery of advanced tax planning and complex tax technical services by coordinating the appropriate teams to provide excellent client service and meet all targets. Interact fully with more complex clients in conjunction with Partners ensuring they are kept informed of progress & responding to client requirements and queries by applying specialist technical knowledge and experience. Assist the Partner to communicate regularly with the team on key objectives, performance & future goals to give direction and purpose to share knowledge and develop the expertise of the team. Plan, delegate and manage the allocation of work appropriately to the person or team with the skills best suited to deliver the service to the client working in collaboration with the team. Develop a network of professional contacts and build a profile readily recognisable as an expert in your field' outside the Firm by use of technology and social media. Liaise with Marketing to identify and market to new sources of work with a view to providing regular updates and hold meetings with new contacts for conversion to clients. Analyse markets and understand competitive offerings in order to identify prospective new business and implement plans and a targeted approach for development of potential clients and business relationships. Be pro-active and identify opportunities to act on the interpretation of new legislation with a view to winning new work. Act with honesty and integrity in all dealings with clients, contacts and team members whilst respecting confidentiality and building trust. Qualifications: Professionally qualified - e.g. ATT/CTA/ACA/ACCA Appropriate experience within relevant tax discipline at this level. Technical expertise in specialist field. High level of client handling and relationshipskills
133 Oldham St, Manchester M4 1LN, UK
My client is looking for an experienced Head of Compliance to ensure the company adheres to legal standards and in-house policies. You will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters. The role will involve: Keep up to date with, and understand, relevant laws and regulations Monitor compliance with laws, regulations and internal policies Ensure that your findings are recorded and followed up with management so that issues can be rectified Educate employees on not only the regulations but also the impact to the organisation if these are not complied with Investigate irregularities and non-compliance issues Report back to business functions on current risk and compliance performance Contribute to robust and effective compliance controls within the organisation Review marketing materials, presentations and websites to ensure compliance with regulatory requirements Conduct annual staff training - Financial Crime / Anti Money Laundering etc Maintain T&C records for all Advisers Conduct regular T&C 121 meetings with Advisers Key Requirements: Have experience of pre-approval authorisations AF3 or equivalent pensions qualification desirable Must have experience of liaising with the FCA
The Head of Customer Retention is a new and exciting role which focuses on the retention of the existing customer base and the development of an effective retention team to drive down customer attrition. The objectives of the role include financial goals around delivery of volume and margin targets, people development, process improvement and customer satisfaction. Key responsibilities include: • Day to day management of the team, currently numbering c.35 FTE • Reduce Customer Attrition to enhance business performance. • Ownership of the attrition percentage and improvement year on year. • Establish and embed a retention team for the UK business and seek to enhance our recovery processes, with responsibility stretching across the entire 70,000 customer base. • Drive the outbound contact strategy into existing customers to deliver volume and margins targets for the UK. • Develop and implement an innovative and robust retention strategy to grow customer numbers and volume. • Manage cross-selling opportunities to improve customer retention and drive referrals. • Manage the Recruitment and Selection process for all new staff and ensure development plans are in place across the whole department. • Performance management of staff to deliver continuous improvement. • Design and deliver best-in-class training programmes for new start induction and agent development. • Create a compelling environment to support Performance and Retention of people. • Innovate with new technology to deliver choice to our customer base on how they communicate with us and constantly strive to find ways to reduce our cost to serve. Skills & Experience • Highly presentable with strong organisational and motivational skills. • Outstanding communication skills with the ability to operate at all levels internally and externally. • Ability to improve standards through effective performance management. • Strong negotiation skills. • Ability to analyse resource levels and optimise capacity without compromising on service quality. • Ability to understand and enhance a complex business model. • Inspirational leadership. • A comprehensive analytical skillset. • Effective stakeholder management. • Previous experience of managing and/or developing a retention strategy and team. • Minimum of 5 years' experience in a contact centre environment is essential. • Previous experience of operating at a senior management level within a contact centre environment.