Regulatory Specialist and Senior Specialist

3 weeks ago

Bristol, United Kingdom Diligenta Full time

Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as 'home' by existing employees, we drive a culture that is founded on positive change and development.
Due to recent successful client wins we are investing in our Compliance offering which will include expansion of the Monitoring and Oversight / Guidance functions.
Anyone looking for an opportunity where they can engage with some of the largest Life and pensions service providers in the UK should apply today
~33 days including Bank Holidays
~ Eligibility for an annual discretionary bonus scheme
~ Personal and career development opportunities to progress your aspirations within the company as well as through our global parent company (Tata Consultancy Services)
~ Access to Perks at Work (an online discounted shopping platform) saving you money on a wide range of goods and services, including your weekly food shop, holidays and electrical goods
~ Cycle to Work Scheme & Interest free Season Ticket loans
~ A companywide Wellbeing programme, including an Employee Assistance Programme and other benefits/resources to support your mental/physical and financial wellbeing
~ A comprehensive set of Moments that Matter policies, such as Carer's Leave, Foster Leave and Retirement Leave
~ A contributory company pension scheme where we match your contributions up to 6%, Group Life Assurance ('Death in Service") & Group Income Protection
~ Providing second line regulatory oversight (support and challenge) to Diligenta's client accounts and 3rd party outsourcers to ensure operational compliance on a day to day basis
Providing compliance advice and guidance to business areas to ensure Diligenta continues to operate compliantly and without enforcement by our regulator
Assisting the Compliance Manager by producing regular and ad-hoc regulatory reports as required, and with developing and promoting a compliance culture
Representing Compliance in governance committees and forums, and provide regulatory support (advice and challenge) to strategic projects and initiatives
Taking a leading role in monitoring Diligenta's exposure to regulatory risk for the relevant Client Account, agreeing remedial actions to address issues and close gaps as appropriate, in order to support assurance to our Clients' Compliance divisions and to the Diligenta Head of Compliance
Contributing to developing and implementing Compliance policies and procedures, including continued oversight of Diligenta regulatory policies, processes, training and internal controls to ensure the Diligenta utility model remains fit for purpose, suggesting across account change as appropriate
Responsible for training, monitoring and provision of guidance to Compliance Specialists as necessary
Minimum 4 5 years Compliance experience
Detailed knowledge of FCA rules and regulations and a thorough knowledge of regulatory development and consultative process
Sound understanding of regulatory structure and process, regulations, and their underlying principles
Ability to propose and implement compliance solutions with the required level of personal impact
Ability to recognise compliance implications of business initiatives
Able to build and maintain strong relationships with business partners
If you need any help or adjustments for any stage within the recruitment process due to health, disability, or any other reason, please let us know.

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