- Supporting the department in ensuring that client meets its legal and regulatory obligations
- Conducting monthly transactional monitoring of key operational areas, for example, Data Subject Access Requests, breaches and financial promotions
- Conducting thematic monitoring reviews and producing a detailed report of findings
- Analysing incident and breach forms submitted by business areas, requesting further information where required and uploading to the Riskonnect platform.
- Assisting in the development and maintenance of the client’s regulatory business policies and procedures.
- Collating and distributing internal reports
- Responsible for creating MI and slides for the monthly committee including watchlist and regulatory change
- Responsible for reporting key activity to the Head of Risk and Compliance for submission to Steering Committee
- Maintaining and tracking various departmental and company-wide logs, for example, the training, and legal advice log
- Shared responsibility for risk management activity
- Horizon scanning to identify regulatory announcements and upcoming changes and writing briefing notes covering key regulatory updates and announcements for senior management
- Distributing policies to relevant associates and logging attestations for reporting
- Maintaining and tracking the reporting calendar to ensure reports are submitted before the deadline and requests for data are provided to relevant business areas in good time
- Have worked in a regulated financial services firm
- Have a basic understanding of the regulatory framework including financial regulators
- Be able to demonstrate a highly organised and accurate approach to work
- Strong analytic and interpretive skills
- Effective communicator at all levels.