Risk Management Executive

Heat Recruitment
05 Aug 2017
30 Aug 2017
Job Type
Contract Type

Risk Management Executive

To identify key risk exposures for the Firm and to contribute towards successful mitigation techniques to minimise regulatory impact. To oversee key risk functions to aid the Firm in successful maintenance of its regulatory standing.

Summary of Responsibilities:

To ensure that sufficient Professional Indemnity Insurance is effected for all Firms within the Group and to

additionally ensure that where necessary, records of PI are maintained for companies directly associated with the Group

To participate and oversee where necessary the compliance due diligence for potential acquisition firms, ensuring that deadlines set by the Acquisitions Manager and the Group Head of Risk are adhered to

To co-ordinate and oversee the regulatory reporting for all Firms within the Group. This is including, but not limited to, GABRIEL firm reporting, fees returns, professional standards returns and collating information for FCA thematic or ad-hoc requests

Where necessary, co-ordinate and manage the variation of permissions process including, but not limited to, collation of business plan material, regulatory research and execution

To review and authorise changes to stationery templates in line with FCA regulation and to communicate authorised templates to all relevant stakeholders

To oversee the implementation of regulatory policy and procedural change where this has an impact upon the regulatory position of the Firm

To be responsible for implementation of regulatory project actions under the direction of the Regulatory Projects Manager and Group Head of Risk

To act as an escalation point in relation to regulatory queries that are received by Advice & Regulatory Assurance, Advice & Regulatory Admin and T&C and to effectively manage and/or delegate queries that are received directly from staff and consultants

To provide assistance in contract review to T&C Operations for all 3rd party provider terms of business or professional introducer relationships

To co-ordinate external regulatory audits as and when they fall due

To provide sign-off to A&R Assurance for recommended breach actions, escalating to Group Head of Risk as necessary


Level 4 Diploma in Financial Planning preferable but not essential

FCA Regulatory work experience

Excellent communication, organisation and prioritisation skills

Self-motivation and ability to work both independently or collaboratively is essential

Strong I.T. skills

Ability to work within an environment that is fast-paced with competing priorities

Synonyms: Compliance

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