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Head of Enterprise Risk

Kind Consultancy is working with an Alternative Financial Services organisation which is currently seeking a Head of Enterprise Risk to join them in a permanent, full-time role with a hybrid work model based in their Birmingham offices.

The Head of Enterprise Risk will work with the Chief Risk Officer and Head of Compliance to embed the business’s Risk Appetite
Statement and Enterprise Risk Management Framework, strengthening risk awareness ownership and culture, with key responsibilities including:

  • Developing, implementing and maintaining a comprehensive Enterprise Risk Management framework, aligned to regulatory and best practices.
  • Delivering the annual Risk Appetite statement refresh, monitoring adherence to limits and escalating breaches
  • Establishing, implementing and maintaining adequate risk management policies and procedures including effective procedures for setting risk appetite, identifying risks to the business, assessing risk, monitoring, and reporting risk exposures
  • Challenging and overseeing the identification, assessment and management of material risks including strategic, operational, financial and change risks
  • Overseeing risk reporting processes and development of key risk indicators, challenging appropriateness of measures and monitoring, encouraging better understanding and maturity of assessment.
  • Providing regular and accurate risk reports to the Chief Risk Officer and Committees. Support Chief Risk Officer at Board Risk Committee, presenting view on key risks management and trends, identify emerging risks and inform and support key decision making
  • Leading and delivering the second line monitoring plan and provide review and challenge on business RCSAs
  • With the Head of Compliance, overseeing the embedding of regulatory frameworks, processes and assessment (e.g. operational resilience, consumer duty)
  • Encouraging risk ownership, improving knowledge and awareness across the business; leading professionalisation of horizon scanning, ensuring an external, forward- looking approach to assessing emerging risks, and delivering regular updates and recommendations that are consistent with industry best practice
  • Influencing and promoting strong risk culture via training and communication, business partnering across first line. Enforce risk management principles into business processes and decision-making.
  • Ensuring compliance with relevant regulatory requirements, providing input, challenge and helping to shape key regulatory artefacts (e.g. ICAAP, ILAAP, Recovery Plan, Solvent Exit Plan, Operational Resilience Self-Assessment).

Our ideal candidate for the Head of Enterprise Risk position:

  • Has a substantial track record as an experienced Risk Senior Manager in Financial Services (UK banking) and good knowledge of the relevant regulatory environment (PRA, FCA)
  • Has a broad background in Risk Management across Financial and Non-Financial risks
  • Is experienced in setting, measuring and reporting risk metrics through to Board level, and in developing and embedding strong risk culture
  • Has experience of engagement with internal & external audit, regulators, Board and senior management
  • Has a history of successfully building and balancing relationships with strong influencing and negotiation skills including the ability to influence across functional teams and senior colleagues.
  • Has strong leadership and people management abilities.
  • Is flexible and pragmatic with good problem solving, analytical and decision-making skills
  • Demonstrates excellent verbal and written communication and interpersonal skills

If you’re interested in the Head of Enterprise Risk opportunity, you live in or can commute to Birmingham and you have the necessary skills, knowledge and experience, please apply with an updated CV today.

Compliance Monitoring Officer

Kind Consultancy is working with a fast-growing Alternative Financial Services business which is currently seeking a Compliance Monitoring Officer to join them in a full-time, permanent role paying £55,000 to £65,000 with a hybrid work model based out of their central London office.

The Compliance Monitoring Officer will support the Compliance Monitoring Manager in delivering a Compliance Monitoring Plan (CMP) which provides assurance to senior management and board that the organisation is operating within the compliance risk appetite, and in line with the relevant conduct guidance and UK regulations, with key responsibilities including:

  • Undertaking 2nd line compliance monitoring activities as part of the risk-based Compliance Monitoring Plan (CMP)
  • When required, providing subject matter expert advice and support on monitoring of Anti-Financial Crime Second Line of Defence (AFC 2LOD) monitoring,
  • Supporting the Compliance Monitoring Manager with the development of compliance monitoring practices and data collection techniques and with embedding a strong compliance culture across the organisation.
  • Working closely with the AFC 2LOD team, to ensure the activity effectively covers AML, counter terrorist financing, sanctions and fraud risk.
  • Accurately assessing the risk of any issues identified, to enable effective prioritisation of reporting and subsequent action tracking.
  • Maintaining awareness of broader conduct risk and regulatory expectations in respect of treating customers fairly and Consumer Duty, providing support and guidance to colleagues and demonstrating appropriate personal conduct.
  • Escalating significant issues to the Compliance Monitoring Manager at the earliest opportunity, to enable discussion and relevant action to be taken.
  • Ensuring records of activity and issues are retained and tracked to completion.
  • Assisting the Compliance Monitoring Manager with the development of monitoring techniques through the use of data and MI, where possible utilising technology to its advantage to maximise resources and efficiency.
  • Delivering constructive feedback and challenge through positive stakeholder engagement and relationships.

Our ideal candidate for the Compliance Monitoring Officer opportunity:

  • Has a substantial background of work in a regulated Banking/Financial Services environment.
  • Has previously completed compliance monitoring activity (Thematic, Focus, Continuous or Deep Dive Reviews) under delegated authority, ideally within a bank.
  • Can utilise technology to develop data and MI to support a Compliance Monitoring Plan
  • Has strong report writing experience.
  • Has a good understanding of understanding Payment Services (especially banking as a service business models), Retail Banking, Merchant Acquiring and Card Issuing (including Payment Scheme rules), the Provision of Safeguarding Accounts, Commercial Lending (including unregulated secured loans via broker distribution), Retail Deposit-Taking (Including via deposit aggregators and depositor protection rules) and Consumer Lending
  • Is able to consider the requirements of Consumer Duty and Treating Customers Fairly within the broader customer outcomes assessed during reviews.

If you’re interested in the Compliance Monitoring Officer position, you’re based in or can commute to London and you have the necessary skills, knowledge and experience, please apply with an updated CV today.

Transaction Monitoring Analyst

Kind Consultancy is working with a succesful, growing Alternative Financial Services business which is currently seeking a Transaction Monitoring Analyst to join them in a full-time, permanent role paying up to £45,000 with a hybrid work model based out of their Birmingham office.

The Transaction Monitoring Analyst will work on a new Transaction Monitoring system, with key responsibilities including:

  • Processing and investigating transaction monitoring alerts generated by the new system.
  • Identifying potential suspicious activity, ensuring compliance with regulations and the firm’s internal processes.
  • Using transaction data to identify patterns, trends, and anomalies.
  • Sharing insights to enhance system performance and regulatory compliance
  • Providing feedback on the suitability of segments, rules, and scenarios to ensure an optimal balance between risk management and operational effectiveness, and on the suitability of AI-related alerts to ensure an optimal balance between risk management and operational effectiveness.
  • Contributing to the formation of internal service level agreements through the establishment and recording of processing times.
  • Providing feedback to design optimal user workflows

Our ideal candidate for the Transaction Monitoring Analyst opportunity:

  • Has proven experience in Transaction Monitoring within a banking or financial services environment.
  • Is familiar with ComplyAdvantage or similar AML and compliance platforms.
  • Has a strong understanding of Financial Crime regulations.
  • Has past experience in reviewing and optimising transaction monitoring rules and scenarios.
  • Has an analytical mindset with the ability to interpret complex data and identify risks.
  • Is meticulous with excellent written and verbal communication skills.
  • Is poficient in Microsoft Office Suite and relevant compliance tools.

If you’re interested in the Transaction Monitoring Analyst position, you’re based in or can commute to Birmingham and you have the skills and knowledge we’re looking for, please apply with an updated CV today.

Operational Resilience & Business Continuity Manager

Kind Consultancy is working with a well-established Retail Financial Services business which is currently seeking an Operational Resilience & Business Continuity Manager to join them in a permanent, full-time role paying up to £50,000 with a hybrid work model based in their Staffordshire offices.

The Operational Resilience & Business Continuity Manager will support the organisation’s ability to anticipate, prepare for, respond to, and recover from disruptive events, ensuring compliance with regulatory expectations, with key responsibilities including:

  • Supporting the development, implementation, and continuous improvement of operational resilience strategies and business continuity plans across the business.
  • Designing and executing scenario testing exercises to assess the organisation’s preparedness for disruptive events.
  • Supporting business process owners with process mapping activities to ensure critical business processes are identified and protected.
  • Ensuring that contingency plans are maintained, regularly tested, and updated based on evolving risks and business needs.
  • Working with cross-functional teams to identify vulnerabilities and potential risks to business operations, developing strategies to mitigate them.
  • Supporting with managing risk events and incidents, coordinating response efforts to minimise operational disruption.
  • Ensuring all operational resilience and business continuity efforts align with regulatory requirements and industry standards.
  • Maintaining awareness of evolving regulatory expectations and adjusting plans accordingly.
  • Supporting the business in managing third-party relationships, ensuring vendors and service providers have appropriate resilience and continuity plans in place.
  • Providing regular reports to senior management on the state of operational resilience, risks, incidents, third party supplier assurance and the effectiveness of continuity plans.
  • Identifying areas for improvement in operational resilience practices, leveraging lessons learned from testing, incidents, and risk assessments to enhance the organisation’s preparedness.
  • Ensuring all documentation related to resilience and continuity, including annual self-assessment, policies, procedures, and plans, is current, accurate, and effectively communicated to relevant stakeholders.

Our ideal candidate for the Operational Resilience & Business Continuity Manager opportunity:

  • Has experience of managing operational risks within a regulated Financial Services organisation
  • Has an excellent understanding of Operational Resilience and Business Continuity activities
  • Possesses very strong regulatory knowledge, including a high level understanding of SS1/21 – Operational Resilience, TCF/Conduct Risk and AML
  • Is a confident user of all Microsoft Office products
  • Is highly organised with strong time management skills

If you are interested in the Operational Resilience & Business Continuity Manager opportunity, you have the necessary skills, knowledge and experience, and you are based in or can commute to Staffordshire, please apply with an updated CV today.

Compliance Monitoring Officer

Kind Consultancy is working with a large, national Financial Services business which is currently seeking a Compliance Monitoring Officer to join them in a full-time, permanent position paying up to £32,000 with a hybrid work model requiring 2-3 in-office days per week in their Milton Keynes offices.

The Compliance Monitoring Officer will support the delivery of second line monitoring across the business, with key responsibilities including:

  • Contributing to the preparation of the Compliance Monitoring Plan, which is risk-based, and approved by the Group Risk & Compliance Director and Group Audit & Risk Committee.
  • Preparing regular, timely, relevant and concise reporting on the Monitoring findings for management, including recommendations for addressing any weaknesses identified.
  • Tracking and reporting on the progress of remedial actions and where appropriate, guiding management in implementing necessary improvements.
  • As required, acting as “Lead Monitoring Officer” to manage specific reviews and coordinate the activities of other Monitoring Officers in relation to that work.
  • Working closely with key business areas and stakeholders, for example the Case Checking Team, across the business to implement the agreed approach to Compliance Monitoring.
  • Staying updated on best practices and external developments in the area of Monitoring and ensure that learning is applied.
  • Undertaking special investigations as required in response to breaches or other issues arising.
  • Identifying and escalating at the earliest opportunity any significant regulatory issues to the line manager in a clear and accurate manner.
  • Conducting onsite visits as required to enable planning, testing and reporting to take place.

Our ideal candidate for the Compliance Monitoring Officer opportunity:

  • Must have relevant experience within Financial Services industry, with particular knowledge of mortgage services.
  • Has a sound understanding of FCA Regulation, including MCOB, ICOBS and DISP.
  • Is a team player, with the ability to work unsupervised.
  • Has a proven ability to build strong and effective working relationships with stakeholders.
  • Demonstrates consistently strong attention to detail and ability to deliver high quality written work and reporting.
  • Displays effective oral and written communication skills.
  • Has the confidence and credibility to provide appropriate and commercial challenge to the business.
  • Holding a professional mortgage qualification (CF1, CF6) or being willing to study for one would be desirable, as would holding a professional compliance qualification (ie. ICA Diploma or Advanced Certificate)

If you’re interested in the Compliance Monitoring Officer position and you have the necessary skills, knowledge and experience and live in or can commute to Milton Keynes, please apply with an updated CV today.

Senior Compliance Monitoring Manager

Kind Consultancy is working with a succesful, growing Challenger Bank which is currently seeking a Senior Compliance Monitoring Manager to join them in a full-time, permanent role based in their West Midlands office.

The Senior Compliance Monitoring Manager will focus on delivering a risk-based Compliance Monitoring plan, tailored to the organisation’s customers and products, with key responsibilities including:

  • Managing delivery of the annual Compliance Monitoring plan, ensuring timely delivery of compliance monitoring activities to ensure adherence to both regulatory and internal policy
  • Undertaking and managing the Compliance Monitoring team in the completion of compliance monitoring activities
  • Producing timely management reports, identifying areas of non-compliance with internal policy, regulatory requirements and the internal control framework
  • Reviewing, monitoring and tracking actions from reports completed by external auditors, ensuring a timely and satisfactory closure is achieved and evidenced by an audit trail
  • Cultivating and developing an enthusiastic and engaging team, encouraging open dialogue with all colleagues to engender trust and drive continuous improvement.
  • Demonstrating creative thinking, challenging existing processes and proposing new ways of working to maximise efficiency.
  • Adding value by tailoring Compliance Monitoring activities to a variety of challenges as they arise and encouraging team members to do the same
  • Reviewing and challenging existing reporting mechanisms and formats to ensure that Compliance Monitoring reporting is engaging, visual and clearly directs the recipient to the key areas of concern or interest.
  • Adopting an open-minded approach to problem solving, seeking pragmatic and cost-effective solutions to business and regulatory issues and subsequently ensuring that the team measure and monitor the performance of those solutions, allowing for swift identification of ongoing and repeat issues
  • Representing Compliance Monitoring at stakeholder and client facing meetings

Our ideal candidate for the Senior Compliance Monitoring Manager opportunity:

  • Demonstrates experience and understanding of the FCA Handbook, specifically PRIN, SYSC, COCON, CONC, COBS, BCOBS, MCOB, DISP and SUP in addition to the Payment Services Regulations (PSR), with the ability to apply this knowledge to day-to-day decision making.
  • Has 5+ years of experience working in a Compliance role within Financial Services, with experience of managing team performance.
  • Is an excellent communicator, able to adapt their style to provide pragmatic feedback and guidance both verbally and in written reports
  • Is an engaging team leader, inspiring reports to produce high quality, value-adding outputs
  • Has a track record of succesful risk-based decision making, and of influencing key stakeholders to reduce regulatory and conduct risks
  • Is confident in managing their own workload and deliverables, ensuring high standards of quality and monitoring
  • Is able to interpret regulatory developments and apply them to the organisation’s activities
  • Holds one or more relevant industry qualifications such as the International Compliance Association (ICA) GRC Diploma (not essential but highly desirable)

If you’re interested in the Senior Compliance Monitoring Manager opportunity and you have the necessary skills, knowledge and experience and are based in or can commute to the West Midlands, please apply with an updated CV today.

Paraplanner

Kind Consultancy is working with a succesful, national Wealth Management firm which is currently seeking a Paraplanner to join them in a permanent role paying £35,000 to £50,000 dependent on experience. This role will have a hybrid work model to be based out of the firm’s Wolverhampton, Stockport or Newcastle offices – candidates must be able to commute to one of these locations.

The Paraplanner will support the firm’s Financial Planners by conducting research, preparing reports, and ensuring that clients receive the best advice based on thorough analysis, with key responsibilities including:

  • Preparing detailed financial reports and recommendations.
  • Conducting research on financial products and market trends.
  • Assisting Financial Planners in developing client strategies.
  • Ensuring compliance with regulatory requirements.

Our ideal candidate for the Paraplanner opportunity:

  • Holds a minimum of a Diploma in Financial Planning or equivalent, and wishes to aspire to be Chartered and a CFP.
  • Has experience in paraplanning or similar role involving the use of Cashflow planning tools and CRM systems.
  • Demonstrates strong analytical and research skills.
  • Has good knowledge of financial products and the current regulatory environment.
  • Has a keen eye for detail

If you’re interested in the Paraplanner opportunity, you have the skills, experience and qualifications we’re looking for, and you’re based in or can commute to Newcastle, Stockport or Wolverhampton, please apply with an updated CV today.

Financial Planner

Kind Consultancy is working with a succesful, national Wealth Management firm which is currently seeking a Financial Planner to join them in a permanent role paying £50,000 to £80,000 dependent on experience. This role will have a hybrid work model to be based out of the firm’s Wolverhampton, Stockport or Newcastle offices – candidates must be able to commute to one of these locations.

The Financial Planner will work directly with clients to understand their financial goals and develop tailored strategies to help them achieve these goals, with key responsibilities including:

  • Developing comprehensive financial plans for clients.
  • Providing advice on investments, pensions, insurance, and tax planning.
  • Building and maintaining long-term relationships with clients.
  • Staying updated on market trends and regulatory changes.

Our ideal candidate for the Financial Planner position:

  • Is qualified at least to a Diploma level, and is on track to be Chartered and Certified Financial Planner (CFP) or equivalent.
  • Has proven experience as a Financial Planner or Advisor.
  • Demonstrates strong interpersonal and communication skills.
  • Is able to quickly build trust and rapport with clients.
  • Is committed to and passionate about providing independent and unbiased Financial Planning.

If you’re interested in the Financial Planner opportunity, you have the necessary skills, experience and qualifications, and you live in or can commute to Newcastle, Stockport or Wolverhampton, please apply with an updated CV today.

Training & Competence Supervisor

Kind Consultancy is working with a succesful, growing Wealth Management firm which is currently seeking a Training & Competence Supervisor to join them in a full-time, permanent role paying up to £45,000 with a hybrid work model requiring 2-3 in-office days per week in their Birmingham office.

The Training & Competence Supervisor will support the delivery of an effective Training & Compliance function, implementing and maintaining high standards, with key responsibilities including:

  • Providing compliance guidance and training to relevant employees of the business
  • Drafting and updating Training & Compliance policies and procedures
  • Working closely with the Head of Compliance to support all business areas with compliance related issues
  • Understanding complex management and regulatory information and translating it into easy to understand forms for key stakeholders
  • Conducting regular internal reviews to ensure that compliance procedures are followed
  • Ensuring that everyone connected to the firm’s regulated business has the skills, knowledge, and expertise to carry out their role appropriately (including non-advisory employees)
  • Developing clearly defined criteria and procedures, setting out the specific point when someone will be assessed as being competent.
  • Measuring and reporting meaningful KPI’s which reflect the needs of the business and allow for measurement of potential risk to the business.
  • Maintaining appropriate records to evidence compliance with the FCA’s Training and Competency requirements, documenting all aspects, from the recruitment of individuals, induction and initial training, through to attaining and maintaining competency.
  • Ensuring all staff (including new staff) are aware of the firm’s complaints handling procedures.
  • As instructed by the Head of Compliance, review any complaints against the firm and deal with them in accordance with the Regulator’s complaints handling rules

Our ideal candidate for the Training & Competence Supervisor role:

  • Has a background in IFA or Mortgage related work
  • Has significant experience of delivering training, preferably relating to compliance within Financial Services
  • Has an in-depth understanding of current UK Financial Services regulations
  • Holding a Level 4 Diploma in Regulated Financial Planning would be highly desirable

If you have the skills, qualifications, knowledge and experience we’re looking for, you live in or can commute to Birmingham and you’re interested in the Training & Competence Supervisor position, please apply with an updated CV today.

Broker BDM – Commercial Mortgages – North of England

Kind Consultancy is working with a fast-growing specialist Financial Services business which is currently seeking a Broker Business Development Manager to join them in a permanent, full time, remote role focussing on Commercial Mortgages in the North of England, with a starting salary circa £70,000 + commission and a £6,000 car allowance.

The Broker BDM will support the organisation’s Introducer strategy, providing a professional relationship management service to commercial finance brokers, prospective customers and existing customers providing an exemplary level of service and maximising value, with key responsibilities including:

  • Building and relationship managing a portfolio of commercial finance Introducers in the North of England, with responsibility for day-to-day management of the relationships.
  • Reviewing, encouraging, managing, and progressing applications from Introducers from initial enquiry through to completion.
  • Ensuring excellent customer service for Introducers, prospective customers, and customers.
  • Supporting lending applications in line with the business’s Credit Policy and Credit Appetite.
  • Establishing and actively managing objectives and a personal development plan.
  • Delivering the territory’s Business Plan and targeted lending volumes.

Our ideal candidate for the Broker BDM – Commercial Mortgages opportunity:

  • Has excellent interpersonal and communication skills
  • Has extensive experience of analysing business fundamentals and financial account to understand the underlying cashflows of a business.
  • Has a substantial background in Business development work within the commercial mortgage broker market and commercial property lending.
  • Has good knowledge of the commercial finance Introducer market, commercial property lending and banking products associated with SME businesses.
  • Is able to work with Introducers and customers to structure new commercial mortgage lending proposals and write credit applications.
  • Has a proven track record in providing excellent customer service and in generating lending income opportunities whilst effectively managing credit risk.
  • Demonstrates a strong understanding of SME banking and lending across commercial asset classes.

If you have the necessary skills, knowledge and experience and are interested in the Broker BDM – Commercial Mortgages opportunity, please apply with an updated CV today.

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A specialist recruitment and executive search firm specialising in interim and permanent Governance, Risk, Compliance, Complaints, Financial Crime and Change & Transformation roles across Financial Services

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