Compliance Consultant
2 weeks ago
This role sits within the Compliance 'second line of defence' function - this function is key in helping the wider risk/compliance team and Board to understand how regulatory and conduct risks are being managed across the entire business.
Responsibilities of the Position:
- Lead the annual review of conduct/compliance policies.
- Maintain and develop relationships with key business areas whilst retaining the independent status required of an assurance function
- Reviewing Risk MI packs
- Support the delivery and execution of the Risk Assurance and Compliance Monitoring Plan by conducting regular reviews across various areas of the business
- Work with business managers to improve control effectiveness and agree any action required
- Assist other Monitoring Consultants in the delivery of their work.
- Assist the Compliance Manager in development of the annual Compliance Monitoring Plan.
- Interpret new regulations, undertake impact assessments and advise/support the business with implementation
- Prepare updates to the Executive Management team on regulatory change affecting business processes
Background of the Position:
- You will have at least three to four years working experience in financial services within a life insurance firm
- Knowledge of Life, Pensions, Savings and pure protection products.
- Extensive experience in review/audit techniques assessing regulatory requirements of the function being reviewed, scoping reviews, determining review approach and testing controls
- Experience of supporting the delivery of riskbased Risk and Compliance monitoring plans
- Experience of delivering highquality outputs to a high level of consistency within a demanding environment
- Enthusiastic and positive cando attitude
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