Risk and Compliance Manager/Senior Manager

Unity Advisory; London; Hybrid; GBP 60,000 - 90,000; Full time

Job summary

Unity Advisory is seeking an experienced Risk Management Manager/Senior Manager to lead their Risk team. This role involves overseeing the firm's engagement risk framework, managing client KYC processes, and ensuring compliance with regulatory standards in a hybrid work environment. Join us to work on innovative AI-driven advisory projects and enhance our risk management practices.

Qualifications

• Professional qualification in AML compliance is desirable.
• Degree in law, accounting/finance, risk, or a related field preferred.

Responsibilities

• Lead the development of the firm's engagement risk framework.
• Oversee client acceptance and continuance reviews.
• Manage the KYC lifecycle for all client engagements.

Skills

Risk Management

Client Due Diligence (CDD)

Anti-Money Laundering (AML)

Regulatory Compliance

Education

Degree in law, accounting/finance, or risk

Professional qualification in AML compliance (e.g., ICA, ACAMS)

Job description

Role Summary

We are seeking an experienced and proactive Risk Management Manager / Senior Manager to join our Risk team. This role is pivotal in supporting the business in managing client and engagement risk, ensuring compliance with regulatory requirements and internal policies. The focus will be on leading the design, implementation, and oversight of robust Know Your Client (KYC) processes and engagement risk assessment frameworks across the firm's service lines.

Responsibilities

• Lead the development and enhancement of the firm's engagement risk framework, including scoping, due diligence, onboarding, and acceptance.
• Oversee client acceptance and continuance reviews, escalating high-risk matters.
• Collaborate with partners to ensure consistent risk protocols across tax, advisory, and deals engagements.
• Manage engagement risk consultations, tracking outcomes and approvals.
• Design and deliver risk training to client-facing teams for understanding and compliance.
• Manage the KYC lifecycle for all client engagements, including CDD, EDD, and ongoing monitoring.
• Interpret AML regulations and create practical policies for client onboarding and verification.
• Work with central compliance to ensure AML frameworks meet regulatory requirements and best practices.
• Support internal audit and external regulatory reviews related to AML and client onboarding.
• Maintain and update internal engagement risk and KYC policies in line with evolving regulations.
• Implement risk scoring tools and assessment templates for decision-making.
• Act as a subject matter expert and escalation point for complex engagement and client acceptance issues.
• Produce regular risk dashboards and reports for senior leadership, highlighting key trends and issues.
• Participate in internal risk committee meetings and advise on risk implications for prospective clients and engagements.
• Liaise with external regulators and professional bodies to stay ahead of emerging risks and regulatory changes.

Qualifications

• Professional qualification in AML compliance (e.g., ICA, ACAMS) is desirable.
• Degree in law, accounting / finance, risk, or a related field preferred.

Work Environment

A truly hybrid and flexible working environment. We offer the opportunity to be at the forefront of AI-driven advisory services. You'll be working on cutting-edge projects and encouraged to deploy the latest analytical tools and approaches.

Additional Information

At Unity Advisory, we are committed to providing an inclusive and accessible recruitment process. In line with the Equality Act 2010, we will accommodate any suitable candidate requiring assistance to attend or conduct an interview. If you need any adjustments or support, please let us know when either scheduling your interview or in your application cover letter. We are dedicated to ensuring that everyone has an equal opportunity to succeed and are here to support you throughout the process.

PLEASE BE ADVISED THAT WE DO NOT ACCEPT ANY UNSOLICITED CVS FROM THIRD PARTIES