We are currently recruiting for a Compliance Policy Manager to join our team. The Compliance policy team aims to leverage our relationships and expertise to provide advice, guidance, support, and challenge to the business, facilitating safe business growth and helping our customers achieve their objectives.
Reporting to the Senior Compliance Manager, you will contribute to product governance, engage with product teams, participate in regulatory projects, oversee operational changes, and supervise financial promotions.
What does the job involve?
The key responsibilities include:
1. Collaborating with the Senior Compliance Manager and stakeholders to embed Consumer Duty across the business.
2. Interpreting regulation and regulatory developments, assessing their impact, and advising first-line areas on implementing changes.
3. Monitoring industry best practices and external developments, providing advice and challenge to enhance the control environment.
4. Raising regulatory awareness through business training.
5. Supporting the enhancement and maintenance of the Product Governance framework in line with FCA regulations.
6. Overseeing documentation sign-offs, including financial promotions.
7. Monitoring FCA interventions related to products and promotions, reporting to the business, and attending relevant FCA events.
8. Assisting in compliance reporting to governance bodies.
9. Providing oversight for CASS compliance and assisting with related queries.
10. Overseeing the SMCR framework across the business.
11. Monitoring Vulnerable Customers processes and supporting the business where needed.
12. Providing compliance oversight for transaction reporting and best execution activities.
Competence, Knowledge & Skills:
* Experience and knowledge of compliance within an FCA-regulated environment.
* Relevant degree and/or professional qualifications.
* Good understanding of FCA Handbook, especially Consumer Duty and COBS rules.
* Knowledge of FCA Client Money and Asset rules (CASS).
* Understanding of asset management regulation.
* Strong planning, organizational, and time management skills.
* Ability to build relationships at all levels.
* Effective communication skills, both written and verbal, including with senior management.
* Persistence in following issues and challenging operational teams.
* Good presentation skills.
* Knowledge of pension, investment, and stockbroking products.
We offer opportunities for growth and professional development, including induction training and a study support scheme.
Our active social program is open to all employees.
We will provide training and support to help you develop within your role.
Benefits include:
* 26 days holiday, increasing 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 leave from day one
* Bike loan
* Season ticket loan
* Discounted PMI and Dental insurance
* On-site gym and classes led by personal trainers
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