Risk and Compliance Specialist
3 weeks ago
We are seeking an experienced Risk and Compliance Advisor to join our team at Sustain Recruit. In this role, you will collaborate closely with our Advice team to identify and evaluate risks, ensure regulatory compliance, and support the development and execution of robust control measures.
Main Objectives:
- 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.
Requirements:
- 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.
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