We're currently looking to recruit a Compliance Policy Manager to join the team. The Compliance policy team purpose is to leverage our relationships and expertise to provide advice, guidance, support and challenge to the business, in order to facilitate safe business growth and help our customers achieve their objectives.
Reporting to the Senior Compliance Manager, you will be providing input into the product governance, engagement with product teams, regulatory projects, operational change, and oversight of financial promotions.
What does the job involve?
The key responsibilities of the role are as follows:
* Work with the Senior Compliance Manager and key stakeholders to continue embedding Consumer Duty across the business.
* Review and interpret regulation and regulatory developments, determine potential impact to business, and provide detailed advice and guidance to first line areas implementing business changes.
* Monitor external developments and changes in industry best practice and provide advice and challenge to the business in the further enhancement of its control environment.
* Play an active role in raising regulatory awareness through training in the business.
* Assist the Senior Compliance Manager in the enhancement, implementation, and maintenance of the Product Governance framework in line with FCA regulation.
* Provide oversight to all documentation sign off including financial promotions.
* Maintain oversight of FCA use of powers of product and financial promotions intervention and report to the business, including attending FCA or other events or seminars as required.
* Assist in the provision of reports and MI in relation to compliance activities to governance committees/bodies as required.
* Provide compliance CASS oversight, attending meetings where required, and assist the CASS Team with any Compliance related CASS queries.
* Provide oversight of the maintenance of the Senior Manager and Certification Regime (SMCR) across all levels of the business.
* Provide oversight of the Vulnerable Customers (VC) processes and provide support to the business where required.
* Provide Compliance oversight for all aspects of transaction reporting and best execution activities.
Competence, Knowledge & Skills:
* Previous experience and knowledge of compliance in an FCA regulated firm.
* Degree and/or appropriate professional qualifications.
* Good knowledge and understanding of the FCA Handbook, in particular in relation to the Consumer Duty and COBS rules and guidance.
* Understanding of the FCA Client money and asset (CASS) rules.
* Understanding of asset management and associated regulation.
* Highly effective planning, organisational and time management skills.
* Ability to build relationships with stakeholders at all levels.
* Effective communication skills, both written and verbal including the ability to communicate effectively and credibly at all levels including with senior management.
* Tenacity to follow through issues and challenge operational teams at a high level.
* Good presentational skills.
* Knowledge of pension, investment, and stock broking products.
There are opportunities for growth and professional development for employees wanting to progress within their career including induction training and our study support scheme which is part of our benefits package.
There is an active programme of social events throughout the year, which are open to all employees.
In return we will provide all the training and support you need to develop within your role.
In return for your hard work you will receive:
* Generous holiday allowance of 26 days, increasing up to 31 days with service, plus bank holidays.
* Casual dress code.
* Discretionary bi-annual bonus.
* Contributory pension scheme.
* Buy as you earn share scheme.
* Enhanced maternity/paternity scheme from day one.
* Bike loan.
* Season ticket loan portal.
* Discounted PMI and Dental.
* On-site gym and personal trainer led classes.
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