Lucy Adam

*** Newly created role in new team***

A leading dgital transformation consultancy is looking to recruit a Senior Manager – Conduct, Compliance & Regulatory Risk (newly created role in a new function), a pivotal role in driving conduct and regulatory risk maturity across a new risk and compliance outsourcingn contract and the wider business, helping them develop a market leading risk and compliance capability – talent, frameworks, processes, technology and insights – to help them grow their presence in the UK Financial Services sector.

They have a strong proposition and a growing pipeline of opportunities, this is a great chance for someone to get involved early in their journey and to play a pivotal role in shaping one of the key areas for them going forward. The role could be based in Edinburgh or Glasgow.

The role will involve providing expert advice and an organised formal process of gathering, analysing and disseminating value-added information, including upcoming regulatory and legislative changes, to support decision making, strategy and framework development.

FULL SPEC ON REQUEST. Responsibilities include to:
• Establish and maintain constructive relationships with regulatory body, auditors and relevant institutions, ensuring all reporting requirements are met.
• Advise the relevant Boards and Governance Committees and Management on Compliance issues, escalating any specific items that require special attention
• Issue regular reports to the relevant Committees and forums on Compliance including information on regulatory changes; regulatory interaction; breaches, errors, omissions and complaints; progress in implementing recommendations, regulatory visits and compliance monitoring activities; and items escalated to the regulator during the reporting period.
• Promote and enhance the compliance, risk and governance culture
• Produce and maintain appropriate Compliance policies and procedures for the UK businesses and ensure that they are maintained in line with local regulatory requirements, as well as Group requirements and frameworks.
• Develop and implement a framework to identify, analyse and monitor regulatory change that could impact the firm and its clients.
• Develop networks to gather and share information and to gain new insights with both internal and external stakeholders.
• Coordinate work across the firm and clients to gain input from experts and create communities of interest around specific topics.

This role would be suited to a senior manager with strong experience of the Financial Services regulatory environment and regulatory frameworks, looking for a new and very different challenge in a fast-paced and fluid environment.

If this is of interest and you would like to find out more please get in touch.

Adam Appointments is the only Scottish agency specialising exclusively in Corporate Governance recruitment.

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