Risk & Compliance Officer Risk & Compliance Officer …

in London, England, United Kingdom
Permanent, Full time
Last application, 04 Jul 20
in London, England, United Kingdom
Permanent, Full time
Last application, 04 Jul 20
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Posted by:
Posted by:
Recruitment Business Partner
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To participate in the execution of the Company’s Compliance Monitoring Plan as well as assisting in the delivery of the day-to-day compliance activities of the Company with the objective of ensuring that compliance arrangements are run in an efficient, effective and consistent manner.

The Risk & Control officers role is to:

  • Promote the Compliance Culture within the Company.
  • Assist the Company in maintaining its compliance with regulatory obligations.
  • Provide support to the Company’s Senior Management by providing assurance on the systems and controls connected with the Company’s regulated activities.
  • Assist with Risk Event (including Breaches) reporting, and associated management of Action Plans.
  • Produce Risk Management Information.

Roles Responsibilities

Regulatory Compliance Policy

  • To assist in reviewing the Company’s Compliance Procedures.
  • To ensure that the Compliance team’s internal processes remain up-to-date.

Regulatory Developments

  • To assist in reviewing upcoming regulatory developments
  • To assist in communicating and embedding regulatory changes into Operational processes and providing oversight as required.   


  • To assist in Committee and Board compliance reporting as required.
  • To assist in the preparation of the Management Risk & Compliance MI pack as required.

External Audits, Internal Audits, Client Audits

  • To assist with compliance related queries.
  • To assist in meetings with both External and Internal auditors.

Experience Required

Experience in planning and undertaking compliance detailed reviews of financial services including thematic reviews and or undertaking quality assurance monitoring, identifying and recording issues from this work and ensuring remedial work is undertaken.

  • Proven skills in producing and presenting monitoring reports of an exceptional standard to senior management.
  • Ability to work to tight deadlines whilst ensuring the work undertaken remains to a high standard.
  • Excellent planning and prioritisation skills are essential.
  • Effective and concise verbal and written communication skills are essential.
  • Good knowledge of the English language and grammar.
  • Good attention to detail.

About FNZ

FNZ is the market leading provider of technology and administration services to major financial institutions in the platform and wealth management sectors across the globe. We partner with life companies, banks, asset managers and discretionary wealth managers to enable them to develop and distribute financial products and services to their customers across all major distribution channels.

FNZ has a strong blue-chip customer base including Standard Life, Axa Wealth, JP Morgan, HSBC, AMP, National Australia Bank, Bank of New Zealand, Friends Life, UBS, Zurich Financial and Close Brothers Asset Management. It has helped these customers grow to over £30 billion of platform assets in aggregate. FNZ now employs over 700 people with offices in Edinburgh, London, Bristol, Brno (Czech Republic), Wellington and Sydney.


  • Be part of a highly successful, rapidly growing, global business that is leading the delivery of financial services via cloud computing and partners with some of the world’s largest companies;
  • Remuneration and career advancement is based on individual contribution and business impact rather than tenure or seniority;
  • We provide significant financial rewards for high performing individuals; and
  • We provide global career opportunities for our best employees at any of our offices in the UK, Czech Republic, Australia or New Zealand.

At FNZ, we recognise that diversity, inclusion and accessibility are important factors for our success. We embrace the unique perspective and capabilities of our current and future employees, which will help us continue to drive innovation and achieve our business goals. Recruitment decisions at FNZ are made in a non-discriminatory manner where all employees are valued and respected. In particular, we want to ensure accessibility needs are well supported thus, ensuring our recruitment process is fair and equitable for all applicants.

Please let us know if there is any support we can provide to ensure FNZ’s recruitment process is fully accessible to you. You can contact us at recruitment@fnz.co.uk to discuss specific requirements.