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Salary not available. View on company website.
Foresters Financial, Shortlands, Bromley
- Remote working
- Full time
- Permanent
Posted 1 day ago, 14 Jun
Job ref: 997f9bbd3962474e8a8ebfe248dac0a4
Full Job Description
Your day to day will include:
Providing expert and practical regulatory guidance, to the business in relation to its products, systems, policies, processes and controls.
Providing pragmatic guidance on regulatory matters.
Acting as the compliance SME on projects, governance committees and meetings.
Analyzing and interpreting conduct risk and compliance MI sharing insights.
Providing support to business areas on how to appropriately resolve any identified compliance issues, including root cause analysis and remediation.
Maintaining a deep understanding of UK financial services regulation, and upcoming regulatory change, producing summaries and a Compliance Bulletin for all employees
Being a key member of project teams providing technical compliance input.
Engaging in advisory work to provide guidance to staff on how to comply with relevant requirements in the context of issues raised during normal business activities.
Reviewing and approving all financial promotions, marketing material and the website, escalating concerns to the Head of Compliance.
Ensuring a review of the "risk" rating for advisers is carried and certification information is completed in a timely manner.
Providing oversight of the vulnerable customer process, ensuring that staff are adequately trained on the procedures in place.
Supporting the development and review of key compliance policies, processes and controls, working with Risk and Internal Audit.
Assisting in compliance reporting for the Executive, Board and IoF.
Assisting in the oversight of data protection.
Lead or assisting with investigations.
Working hours are 35 hours a week Monday to Friday. Start times can vary from 8am to 9.30am. After a successful training period there is flexibility to work from home up to 2/3 days a week.
Excellent knowledge of regulatory and conduct risk management practices in financial services
The ability to take a pragmatic risk-based approach on decisions that impact the business.
Strong understanding of UK financial services regulations.
Ability to lead, motivate and develop teams, including conflict resolution and building trust.
Solution and delivery focused, with high energy and drive, and ability to deliver through others.
Innovative and able to drive change to strengthen policies, processes and procedures.
Excellent planning and report writing skills.
Demonstrable data management skills
Experienced in overseeing compliance issue management and remediation activities and understanding appropriate root cause analysis practices.
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