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Welcome to North Oak Recruitment, dedicated to delivering what we promise - a quality recruitment service. Whether you are a financial services company looking to recruit staff, or whether you are an individual looking for your next career move within financial services, you can rest assured that you will be in the safe hands of an expert, trained and experienced in managing all of your recruitment needs and putting your interests first.  Call us now for Financial Services vacancies.
Risk and Compliance Manager
Salary Area Job Ref Consultant Sector
to c£40,000 + benefits West Midlands AL762 Angela Liscombe Compliance


Risk and Compliance Manager - Dudley (Our Ref AL762)

Salary to c£40,000 per annum + benefits


My client is an established and well regarded financial services and mortgages company, renowned for offering exceptional customer service.  They now have an exciting new opportunity for an experienced Risk and Compliance Manager to join their team at their prestigious modern Head Offices in the Dudley area.

The Role:

·         Work alongside the Risk and Compliance Executive to maintain and develop the Risk Management Framework.


·         Promote a positive risk culture throughout the Company with particular attention to the embedding the Risk Management Framework.


·         Embed the Compliance Framework throughout the Company, ensuring that all compliance monitoring and quality assurance reviews are completed on time to enable them to be reported to the relevant committee.


·         Responsible for the day to day oversight of anti-money laundering including transaction monitoring, investigating internal reports and reporting the NCA and acting as Deputy Money Laundering Reporting Officer.


·         Prepare documents for the Executive Management Committees, Audit & Compliance Committee and the Board Risk Committee.


·         Manage the Regulatory Legislation Tracker to ensure that changes to regulations are implemented in a timely manner.


·         Oversee complaint handling including MPPI complaints to ensure they are dealt with in line with the regulatory requirements.


·         Approve financial promotions, including the website and customer documentation.


·         Assist with the preparation of a compliant Annual General Meeting and other corporate governance requirements.


·         Pro-actively manage and develop the Risk and Compliance team, with particular focus on improving their overall regulatory knowledge, performing regular performance reviews and annual appraisals.


·         Develop an open and approachable relationship with all departments within the Company to promote a good compliance culture.


The Person

·         Experience in a compliance and/or risk function in a financial services environment.

·         Experience of managing people

·         Have an open and approachable manner and the ability to communicate and work alongside all departments promoting a good compliance and risk culture.

·         Good written communications with attention to detail.

·         Hold a relevant qualification e.g. Compliance Diploma, Institute of Risk Management Certificate or Certificate in Mortgage Advice and Practice (Ce-Map)

If this role is of interest and you have worked within wealth management, banking or building society environments, then please apply in confidence with an up to date CV.

 North Oak Recruitment have worked very hard to find me a position.  Angela has been friendly and professional, she listened to what I was looking for and I would recommend her to anyone looking for a new job. 
Sharon M.
 Angela is second to non in her knowledge of the financial services industry across the Midlands.  Having been made redundant I was feeling unsure about my future but Angela was very reassuring and quickly got to work for me.  Within 3 weeks, I had the perfect role and I can't recommend Angela highly enough - Thank You!
Kate M.