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- Manage and deliver the operational Compliance and Risk function to ensure the client meets all regulatory requirements and guidance through the ongoing review of existing processes, procedures and controls and enhancement of changes where required.
- Maintain knowledge of ongoing regulatory change including the impact on the client and the oversight of the production of timely briefing notes to senior management and business areas as required.
- Provide day to day advice and guidance to the business on technical compliance matters.
- Be responsible for the continual embedding of compliance policies, procedures and framework which require close collaboration with or execution by the business and in particular, Consumer Duty.
- Oversight of the annual Compliance Monitoring Plan for the business which includes regulatory reporting, sampling and returns.
- Deputise for colleagues and act as a designated contact point for the Financial Conduct Authority
- Oversight for ensuring all annual and ad hoc regulatory reporting obligations are satisfied and completed by their due date.
- Design, implement and embed an operational risk and control framework across the business.
- Guidance and oversight for the 1st line of defence to ensure that the appropriate controls and QA are in place across the operational business.
- Working with the business units to deliver good customer outcomes across all daily activities.
- Design and deliver training, to embed activity across the business that will strengthen control understanding and implementation.
- Co-ordinate the production of regular, accurate and timely Management Information and act as deputy chair of the Committee.
- Assist in the collation of reports where necessary to the wider group, including a Compliance Report for the Board of Directors.
- Conduct risk assessment processes to detect process gaps and inconsistencies.
- Supervise the workload of the department and be responsible for the management and personal development of the Associates
- Have oversight of breaches and operational Incidents including managing escalation and reporting as required.
- Ability to assess whether the application of regulatory rules and standards is appropriate.
- Strong Regulatory Knowledge to ideally include: CONC, PRIN, SYSC, DISP, SUP
- Ability to provide accurate and concise advice to the business.
- Strong analytical skills
- A strong communicator, able to build key relationships both internally and externally.
- Ability to interpret regulatory rules and guidance as they apply to the business.
- Ability to develop an effective operational risk programme.
- Be able to demonstrate a highly organised accurate approach to work.
- Good knowledge and use of Microsoft office programs and IT environments
