Key Purpose The purpose of this role is to provide expert support to the business with the implementation of regulatory and legislative changes as well as provide advice on financial services regulatory and legislative requirements.
The role includes tailoring the support to effectively engage with all levels of staff within the business and to be a point of assurance on all regulatory and legislative change.
Key Accountabilities Maintain key compliance registers such as the regulatory risk register, Data protection risk register, horizon scanning register, rules mapping register, FCA interactions log, policy index, regulatory policy and developments register, FLA attestation log, compliance training modules logProduce regulatory development updates, in various formats, as required, for the businessProvide specialist compliance input, advice, support and rules interpretation to both line and project managers on projects and business developments in order that they meet regulatory requirements.Represent Compliance at project team meetings and at other forums, including external forums where relevant.Responsible for keeping the business updated on changes to legislation and regulation in order that policies remain up to date Review and maintain compliance training before release to ensure this meets all regulatory and legislative requirementsPreparing and submitting applications to the FCA in respect of any changes to approved persons or the business or FCA requests for informationSupport the business by providing training to Senior Management Functions on their responsibilities under the FCA’s code of conduct.
Carrying out annual assessments of their fitness and propriety, carrying through any actions because of this Build and maintain strong business relationship with the business key stakeholders Skills & Competencies Preferably competent in FCA - PRIN, FIT, PERG, SYSC, MCOB, COCON, COND, TC, MIPRU, CASS, SUP, FCProject management skills with PRINCE 2 or equivalent an advantagePass internal competency tests post induction At least 3 years in a similar financial services compliance roleExperience in and knowledge of navigating and interpreting the FCA handbook Experience in and knowledge of navigating and interpreting the GDPR and DPAAnalysis of Management information Knowledge & Qualifications IT literate with advanced Excel and PowerPoint skillsMinimum of 5 GCSE’s grade C or aboveIdeally Educated to degree standardIdeally hold a full CeMAP, ICA or equivalent or studying towardsIdeally hold PRINCE 2 qualification or equivalentWorking for a lender or a brokerage is an advantage Personal Attributes Excellent communication skills Excellent analytical skillsResilient and flexibleTeam Player across both the team and the company.Approachable and self - motivatedWilling to lead and take responsibility for their role output.Ability to analyse and present complex information in a clear, relevant, and interesting way LinkedIn WatfordEngland
