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â€¢ Our Compliance Managers support and engage their business area on a range of compliance work including providing regulatory advice, designing and implementing policy, identifying risk events, providing training, managing business change, producing MI, managing FCA visits and external reporting.
Key duties and responsibilities:
â€¢ To work with the Head of Compliance Advice and other members of the Compliance team to determine which Compliance related projects and workstreams need working on and prioritising â€¢ To liaise directly with the FSA on any requests they make for information â€¢ To help improve the coordination, efficiency and the effectiveness of the Compliance Team â€¢ To critically assess approach to compliance and suggest improvements â€¢ Follow up required actions by monitoring and encouragement, and escalating where necessary
Essential skills and experience:
â€¢ Financial services or pensions related qualifications â€¢ Good understanding of risk management â€¢ A strong understanding of the role of the FCA within UK financial services â€¢ Experience of dealing with the FCA including dealing with FCA supervision teams â€¢ Good level of product knowledge and an interest in investments and pensions. â€¢ The ability to interpret complex regulatory documents and communicate clearly â€¢ Good at building relationships with senior management â€¢ Able to work independently and manage workloads effectively