Risk & Compliance Manager
Risk & Compliance Manager
Posted on :
14-08-2025
Employer Active
1 Vacancy
Job Alert
You will be updated with latest job alerts via emailValid email field required
Send jobs
Share
Send me jobs like this
Job Alert
You will be updated with latest job alerts via emailValid email field required
Send jobs
Job Description
Key details
Location: Edinburgh or Glasgow office locations
Department: Operations
Reports to:Chief Operating Officer
Direct Reports: Risk & Compliance Analyst and Risk & Compliance Assistant
Hours of work:37.5 hours per week Monday to Friday 9:00am - 5:30pm
Department: Operations
Reports to:Chief Operating Officer
Direct Reports: Risk & Compliance Analyst and Risk & Compliance Assistant
Hours of work:37.5 hours per week Monday to Friday 9:00am - 5:30pm
About the role
As the Risk & Compliance Manager you ensure that our business activities are conducted in a compliant and ethical manner within a framework of policies procedures and systems based on the relevant regulations. This regulatory framework includes (but is not limited to) data protection anti-money laundering consumer protection anti-bribery complaint handling and professional membership requirements & governance. You are proactive at keeping up to date with changing regulatory requirements and briefing the Exec Team on any required adaptations or changes in approach.
You regularly review our company risk assessment and collaborate with the Exec Team to monitor our risk profile adapting the risk assessment and risk matrix accordingly. You identify and implement any necessary actions that result. You use your expert monitoring analytical and reporting skills and your keen eye for detail to carry out our regular audits and prepare reports and recommendations for the Management and Exec Teams.
You continually look for opportunities to improve and streamline compliance processes to further enhance customer experience and employee experience. You provide expert support to Management teams and the frontline teams to achieve the required level of adherence while actively challenging and eliminating unnecessary bureaucracy and taking a commercial approach.
You use your strong verbal and written communication skills to build positive relationships with your colleagues our professional contacts our clients and customers. You understand the importance of positive long-term relationships and work in collaboration with your colleagues in the frontline and Operations Teams providing them with expert support on all risk & compliance matters. You coach and develop your team as a line manager to enable high performance.
You take complex regulatory information and communicate it clearly and simply to colleagues across the business. You ensure we meet our regulatory training obligations by providing a training programme for our onboarding process regular refresher training and other bespoke requirements identified with the teams. You are responsible for making sure the content is engaging relevant and straightforward.
You provide expert support to your colleagues in compliance support roles within the frontline teams and are proactive in upskilling them in the relevant compliance knowledge. You ensure our teams can access up-to-date and clear information on policies procedures and training via our intranet supporting our company culture of self-help and proactive personal development.
You carry out escalated complex KYC and KYCB checks working closely with your colleagues in the frontline teams and external professional advisors (e.g. solicitors IFAs accountants) to facilitate this. You support the Finance Director and Chief Operating Officer as required with the application and renewal processes for insurances professional licences and regulatory registrations ensuring information is accurate and up to date at all times.
You regularly review our company risk assessment and collaborate with the Exec Team to monitor our risk profile adapting the risk assessment and risk matrix accordingly. You identify and implement any necessary actions that result. You use your expert monitoring analytical and reporting skills and your keen eye for detail to carry out our regular audits and prepare reports and recommendations for the Management and Exec Teams.
You continually look for opportunities to improve and streamline compliance processes to further enhance customer experience and employee experience. You provide expert support to Management teams and the frontline teams to achieve the required level of adherence while actively challenging and eliminating unnecessary bureaucracy and taking a commercial approach.
You use your strong verbal and written communication skills to build positive relationships with your colleagues our professional contacts our clients and customers. You understand the importance of positive long-term relationships and work in collaboration with your colleagues in the frontline and Operations Teams providing them with expert support on all risk & compliance matters. You coach and develop your team as a line manager to enable high performance.
You take complex regulatory information and communicate it clearly and simply to colleagues across the business. You ensure we meet our regulatory training obligations by providing a training programme for our onboarding process regular refresher training and other bespoke requirements identified with the teams. You are responsible for making sure the content is engaging relevant and straightforward.
You provide expert support to your colleagues in compliance support roles within the frontline teams and are proactive in upskilling them in the relevant compliance knowledge. You ensure our teams can access up-to-date and clear information on policies procedures and training via our intranet supporting our company culture of self-help and proactive personal development.
You carry out escalated complex KYC and KYCB checks working closely with your colleagues in the frontline teams and external professional advisors (e.g. solicitors IFAs accountants) to facilitate this. You support the Finance Director and Chief Operating Officer as required with the application and renewal processes for insurances professional licences and regulatory registrations ensuring information is accurate and up to date at all times.
Key responsibilities
Establishing Monitoring & Maintaining Regulatory Framework
Learning and Development
- Accountable for the documentationofand regular review of an appropriate framework of policies and procedures
- Accountable for preparing and reviewingquarterlythe Company Risk Assessmentand Risk Matrixidentifyingagreeing and implementing changes withthe Exec Team
- Accountable forensuringthat theExec Team andManagementTeamisaware of their regulatory responsibilities and therisks and consequencesof non-compliance
- Accountable forthe design and implementation of audit and reportingprocedurestomonitorour regulatory framework is being adheredandto enable effective control of the businessprocesses
- Fulfilthe role of Data Protection Officer as defined by the ICONominated Person as defined by HMRC AML guidelinesandeffectively undertakethe dutiesasset out bythe relevant regulatory bodies
- Provide expert anti-money laundering support to the Nominated Officer working closely with them to ensure compliance with HMRC guidelines
- Maintainingthe highest standards of integrityconfidentialityand professionalism in all business and personal dealings
- Accountablefor completingAMLKYC and KYCB checks forescalated casesand for overseeingand providing support forKYC and KYCB checkscarried out by our teams
- Responsiblefor completing applicationsannualrenewals and updates toinsurances professional licences and regulatory registrations as requiredby the COO and FD
- Accountable for ensuring compliance relatedcontent is kept up to date in our legaldocumentation andagreements e.g. terms of business non-disclosure agreements confidentiality agreements residential leases etc
Learning and Development
- Accountable forprovidinga comprehensive engagingtrainingprogrammefor onboardingannualrefreshersandtrainingad hoc needs
- Accountable for ensuringemployees have access toup to datetrainingpoliciesand proceduresvia The Neighbourhood(intranet)
Key requirements
- Robust experience in risk and compliance with a proventrack recordof delivering effective governance and risk management strategies
- Working knowledge of Data Protection and Consumer Protections legislation
- Expert knowledge of AML regulations and KYC / KYCB
- Experience gained in aclient-facingrole
- Strong data analysis skills and ability to interpret data and produce reporting
- Customer focused approach and ability to nurture strong relationships with internal and external stakeholders
- Experience leading and managing teams would be an advantage
- Intermediate PC skills in Microsoft Teams Word Excel PowerPoint and Outlook
Competencies
- Customer Focus
- Communication
- Collaboration
- Problem Solving & Innovation
- Planning & Organising
- Positive Mindset
How to apply
The search and selection process for this role is being managed by our recruitment partner Rachel Sim Lead Consultant at Livingston James.
Interested candidates should submit a tailored CVto:.
Interested candidates should submit a tailored CVto:.
About us
When you join Rettie youll discover the difference you can make. Were a growing and ambitious company but at our foundations we have a family feel. We care about our people; we want them to prosper and realise their potential. We are proud that our values of Teamwork Determination Dependability and Ambition guide our actions and behaviours towards our clients and each other daily. Based on these values we aspire to cultivate and grow diverse capable teams in an environment which will help you realise your career potential.
Required Experience:
Manager
Employment Type
Full-Time
Key Skills
Report This Job
Disclaimer: Drjobpro.com is only a platform that connects job seekers and employers. Applicants are advised to conduct their own independent research into the credentials of the prospective employer.We always make certain that our clients do not endorse any request for money payments, thus we advise against sharing any personal or bank-related information with any third party. If you suspect fraud or malpractice, please contact us via contact us page.
