Dynamic and growing financial services provider are seeking an experienced compliance professional to join their established team. Working closely with the business this role with provide advise and guidance in support of delivering regulatory compliant business objectives while embedding compliance in relation to Conduct and other regulatory risks.
As a key focal point for the business and key stakeholders you will actively represents compliance within senior and extended leadership groups to provide accurate, timely, constructive advice and opinions across regulatory matters.
Key Responsibilities -
- Establishing and maintaining strong stakeholder relationships across the business unit attending senior leadership meetings to ensure alignment of compliance activities with business strategy
- Providing advice, support, and guidance on all aspects of regulation to the business specifically in relation to Conduct risk
- Effectively liaise with key stakeholders regularly, internal Compliance function colleagues, 1st Line business, other 2nd line functions, and 3rd Line of defence to disseminate business and compliance activities
- Keep up to date with regulatory change requirements, effectively interprets the impact of these on the business and provides the business with detailed guidance, support advice and oversight on the successful implementation of these changes
- Work closely with the business to ensure the remediation of regulatory breaches, trends and systemic exposures are effectively managed and to ensure that detective and preventative controls are in place to prevent similar issues in the future
- Works closely with the business to assist in the preparation of materials, management information, guidance, advice, support, attendance at interviews etc.
- Collaborates with the business, Compliance function, other 2nd Line functions in the development, implementation and reporting of business plans and projects
- Guides, coaches and provides compliance training to the business and peers on significant regulatory matters
- Develop monthly and quarterly management information on all activities, risks and issues, which contribute to the Assurance reports for the Board and Executive Management
Skills Required
- Post qualification experience in financial services - insurance highly regarded
- Sound knowledge of UK financial service's regulatory requirements particularly within the Conduct risk, and a good understanding of Prudential risks
- Sound knowledge of other regulations and trade bodies, including; Financial Crime, DPA, etc
- Excellent relationship management skills to Board level (Ambassadorial Approach)
- Excellent communication skills both oral and written
- Demonstrates a strategic and tactical approach
- Strong influencing and persuasive skills to an Executive level
- Competent and analytically minded
- Degree educated or Compliance qualifications to Diploma standard
Eames Consulting is acting as an Employment Agency in relation to this vacancy.
