My client is a mega dynamic and fast paced business, who have done incredibly well over the last few years despite the pandemic and have doubled in size over the past 18 months.
Working with the Compliance Advisory Manager and Group Companies, you'll ensure compliance and conduct risk management is embedded across the group.
You'll assist, support, and provide advice and guidance on Group compliance and conduct matters as per group policy and process, providing regulatory advice Group-wide.
Assisting in recommendations on how the business must act in compliance with regulatory rules and guidance within key business projects and incident management, you'll provide insightful analysis of regulatory communications (including emerging risks) as agreed.
To be successful in this role, you'll need to:
- ideally hold a recognised compliance, audit or legal qualification (desirable)
- have substantial understanding of financial services and the General Insurance market and its standards
- be a credible practitioner with a proven track record of success (ideally in compliance and conduct role)
- Actively support the Compliance Advisory Manager in the Group's compliance.
- Support advice, guidance, and challenge across the Group on compliance and conduct matters,
- Maintain the regulatory papers log and assist in producing insightful reports and regulatory summaries as instructed by the Compliance Advisory Manager. This includes horizon scanning for emerging risks, rules, and guidance.
- Be seen by key stakeholders as a trusted business partner who individually adds value.
- Provide timely and accurate Compliance sign off as instructed e.g. financial promotions and customer journeys.
- Assist in providing regulatory guidance to the incident management process as instructed.
- Assist project teams (as allocated by the Compliance Advice Manager) within the Group with a view to ensuring that compliance considerations are identified and recorded from inception to delivery.
- Provide advice to the business on the practical application of policies and other business standards.
- Assist in the administration of regulatory documentation, reporting and submissions.
- Assist in the implementation of the Group compliance culture.
- Comply with the requirements, and act in accordance with, the Group Code of Conduct and Fitness and Propriety policies at all times.
- Ensure compliance with Company Policies, Values and guidelines and other relevant standards/ regulations at all times, including compliance with the Senior Managers Certification Regime (SMCR) Conduct Rules.
Experience & knowledge
- Good grasp of compliance, risk and conduct current and emerging agenda within the relevant jurisdictions
- Proven track record in delivering advice and sign off to quality, quantity time and cost restraints
- Substantial understanding of financial services and the General Insurance market and its standards
- Credible practitioner with a proven track record of success (ideally in compliance and conduct role)
Skills & Qualifications
- Recognised compliance, audit or legal qualification desirable
- Demonstrates ability and willingness to learn new disciplines quickly, including the regulatory agenda
- Good communication skills, both verbal and written
- Good time management and organisation skills
- Able to communicate knowledge and expertise simply.
- Influencing and negotiation skills with key stakeholders, and the ability to deliver difficult message when needed, articulate advice and consequences clearly and concisely
- Good presentation skills
- Problem solving skills with the ability to adopt a logical approach to solving problems
- Ability to build strong and trusted relationships
- Competent use of IT and software (i.e. Excel, Word, and PowerPoint)
- Consistent and transparent, delivered on commitments, and manages expectations
- Ambassador for the business, actively supports diversity and inclusion and participates in Company and charity events
- Understanding what will contribute to business success, sharing successful ideas and celebrating success
- Doing what it takes to exceed the expectations of internal and external customers
- Build a network of relationships based on trust and respect
- Open and forthcoming feedback
- Displaying energy and enthusiasm for all aspects of the role
- Self-motivated and enthusiastic
- An organised and proactive approach
- Ability to work on own initiative and as part of a team
- A flexible approach and positive attitude
- Strives to drive business improvements to contribute to the success of the business