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Compliance and Risk Manager

An exciting opportunity has arisen for an experienced Compliance and Risk Manager to join Charities Aid Foundation (CAF), a leading charity body and financial institution who are experiencing continued growth and development. Working as an integral part of the CAF Risk and Financial Crime department, supporting the activities and key initiatives across the organisation.

The role holder is responsible for developing and overseeing Compliance and Risk Policies and Standards, designed to ensure CAF and its subsidiaries are compliant and protected from risk and loss.  The Compliance and Risk Policy Manager is an SME for compliance and risk. The role is situated within the Second Line of Defence and will support all CAF entities through the continued development and enhancement of CAF compliance and risk related policies.  The role scope includes all CAF entities including as an example CAF, CAF Bank, CFSL, CAF America and CAF Canada. 

The role holder will have notable experience with drafting compliance and risk policies and experience will extend to related legislation and guidance from the Financial Conduct Authority and Prudential Regulation Authority.  Adherence is also required in support of other applicable guidance including from the Charity Commission and Her Majesty’s Revenue and Customs (HMRC).  Horizon scanning for Risk and Compliance related regulatory change, including managing CAF business engagement and awareness of regulatory change will assist in supporting appropriate ownership across the Lines of Defence and will inform continued development of Policy on an ongoing and timely basis.

Responsibilities include:

  • Maintain, develop and manage CAF Group compliance and risk Policies and Standards;
  • Design implementation and management of a CAF Policy Framework, ensuring appropriate management, refresh, governance and oversight of all CAF Policies
  • Proven ability to be able to convert risk and compliance related legal and regulatory requirements into concise business friendly Policy obligations;
  • Proactive CAF stakeholder engagement for all Policy changes, ensuring business needs, alongside risk and regulatory needs are appropriately accommodated within Risk and Compliance related Policies and Standards;
  • Engagement with CAF businesses to support business procedure evaluation to ensure they meet expectations including regulatory requirements;
  • Horizon scanning for risk and compliance related regulatory change, including deputising for the CAF Head of Risk and Compliance at external committees;
  • Accountable for oversight and authorisation of Risk and Compliance Policy deviance, where temporary or permanent exceptions to policy obligations are agreed
  • Provide support for second line compliance monitoring and testing of compliance and risk related systems and controls;
  • Raise, escalate and provide feedback on risks and issues, supporting management to define and deliver appropriate solutions to mitigate risk;
  • Produce regular management information and data for reporting on compliance and risk to be presented to Regional and Executive Boards;
  • Provide an advisory role for the business as the SME on compliance and risk;

Key skills:

  • Proven and demonstrable success in developing compliance frameworks
  • Experience in advising on compliance and risk matters in an organisation with a diverse range of business activities.
  • Significant experience of managing a diverse workload in relation to compliance and risk activities and have a strong ability to engage with internal and external business partners.
  • Significant compliance experience gained in a financial institution or other similar environment (e.g. financial institution, Third Sector)
  • Experience in developing and implementing Compliance planning, monitoring and reporting.
  • Hold a relevant professional qualification from an internationally recognised body (e.g. ICA)
  • Experienced with delivering training for Compliance and Risk

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