Senior Compliance

3 weeks ago

Swindon, United Kingdom UK Civil Service Full time

Job summary

Context:

Innovate UK Loans Ltd is a wholly-owned subsidiary of UK Research and Innovation (UKRI) and is managed by Innovate UK (IUK), a council of UKRI, a non-departmental public body funded by Grant-in-aid from the UK Government. As such Innovate UK Loans Ltd is a non-regulated lender with its financial products outside the scope of the NCCP (National Consumer Protection Act) however, it seeks to achieve quasi FCA regulated standards.

Job Purpose:

The Innovate UK Loans Assurance and Compliance Manager will report to the IUKL Deputy Director of Risk and Governance and lead in the creation and implementation of a comprehensive assurance programme for Innovate UK Loans.

The Compliance & Assurance Manager will work closely with colleagues across the Operational Governance, Risk, Funding Assurance and Information Governance teams and other corporate colleagues to support decision-making, ensuring that Innovate UK Loans operates best practice throughout its governance, accountability, risk management and integrated assurance arrangements.

You will liaise with internal audit on the planning of assurance activity and will support the UKRI Head of Governance and Management Assurance in establishing a positive and proactive culture to engaging with internal audit and completing and evidencing subsequent audit recommendations.

Job description

Key Responsibilities and Accountabilities:

Work with the IUKL Deputy Director of Risk and Governance to support the development of robust assurance arrangements for IUKL. Ensure the mechanisms, frameworks and policies meet both Shareholder (UKRI) requirements and FCA regulatory requirementsLead the review and implementation of policies, standards and procedures for the general operation of the organisation in line with FCA standardsAdvise on compliance matters and manage the Compliance Monitoring PlanProvide reporting to IUKL Board and the IUKL Audit and Risk Committee on Compliance Management Information.Monitor, analyse and communicate regulatory changes ensuring the business remains compliant with regulatory requirements (including the FCA Principles for Business, relevant FCA sourcebooks, data protection regulation, and other trade bodies� codes of conduct)Build and maintain excellent working relationships with UK Research and Innovation�s internal audit provider, the Government Internal Audit AgencyProvide support to the IUKL Audit and Risk Committee to ensure the relevant updates on audit recommendation progress are provided in a timely and informative manner.Monitor organisational compliance with regards to governance, assurance and risk policies and processes, fraud and the related management information reporting the Audit and Risk CommitteeConstructively challenge and advise senior stakeholders on all aspects of assurance across IUKL work with the UKRI Funding Assurance team and the IUK Assurance team to ensure all elements of funding assurance are effectively integrated into the overall assurance framework

This is not an exhaustive list and you might be encouraged to undertake any other duties across the wider directorate, commensurate with the Band and level of responsibility of this post, for which the post holder has the key experience and/or training.

Person specification

Person Specification:

Qualifications:

Degree level or relevant equivalent experience

Desirable:

Risk Management (CIRM) Audit (MIAA or equivalent).Qualification in AML and Financial crime (CISI or equivalent)

Experience:

Essential �

Good understanding and working knowledge of:prevailing governance, risk and assurance standards and public-sector rulesInternal audit standardsAudit Committee best practiceRC Corporate Governance Code and its public-sector equivalentFCA regulations including SYSC, MIFID, SMCR, Conduct and AML rulesExperience working with senior staff and being a trusted advisorExperience of working with internal and/or external auditorsExperience in developing and implementing effective assurance strategies and frameworks in an organisation.Experience in provision of high quality written and verbal advice suitable for executive and senior level decision makers.

Skills:

Ability to deliver at pace and meeting changing priorities to time and to a high standard�Excellent interpersonal skills, able to influence and build and maintain strong working relationships with a wide range of stakeholders at all levels�Insightful business awareness with the ability to understand and analyse changing business context and landscape to: assess and manage risk, capitalise on emerging opportunities, make sound evidence-based judgements, promote the interests of UKRI and research and innovation�Ability to instill confidence within stakeholders at the most senior levels, acting as a trusted advisor Enthusiastic, motivated, adaptable and proactive with the ability to work flexibly in a changing environment�A strong sense of personal resilience, accountability and ability to remain focused on the bigger picture.�

Competencies:

All team members demonstrate compatibility with and capability against our Core Competencies such as:

Thinking and Problem Solving � Stakeholder management � Communication skills � Influencing � Self-awareness/self-management � Strategic awareness � Working with others� Project management

Travel Requirements:

Field-based: There will a requirement to travel, mostly national, and there is some flexibility in this. Innovate UK staff make extensive use of telepresence tools for meetings to minimise unnecessary travel. In general, you will need to work in the Swindon office once a week and may have four to six nights away from home per month on average to attend conferences and events.

Swindon/London-based: There may be the occasional requirement for national travel.

Benefits

Alongside your salary of �54,043, Innovate UK contributes �27 towards you being a member of the Civil Service Defined Benefit Pension scheme. Learning and development tailored to your roleAn environment with flexible working optionsA culture encouraging inclusion and diversityA with an average employer contribution of 27%

  • Senior Compliance

    3 weeks ago

    Swindon, United Kingdom NERC - the Natural Environment Research Council Full time

    Applications must be submitted by;08-06-2024Vacancy for Senior Compliance & Assurance ManagerThe Innovate UK Loans Assurance and Compliance Manager will report to the IUKL Deputy Director of Risk and Governance and lead in the creation and implementation of a comprehensive assurance programme for Innovate UK Loans and ensure compliance with regulatory codes...

  • Senior Compliance

    2 weeks ago

    Swindon, United Kingdom NERC - the Natural Environment Research Council Full time

    Applications must be submitted by;08-06-2024Vacancy for Senior Compliance & Assurance ManagerThe Innovate UK Loans Assurance and Compliance Manager will report to the IUKL Deputy Director of Risk and Governance and lead in the creation and implementation of a comprehensive assurance programme for Innovate UK Loans and ensure compliance with regulatory codes...

  • Compliance Officer

    1 week ago

    Swindon, United Kingdom Alexander Mae (South West) Ltd Full time

    Senior Business Assurance / Quality Review / Compliance / Financial ServicesCompetitive Salary + Up to 25% Performance Bonus + Superb Benefits - Amazing packageSWINDON & Home Working (minimum 2 days office based) Must have the level 4 Diploma and wants to work towards Chartered Status A superb opportunity exists to join a leading wealth management specialist...

  • Compliance Administrator

    4 weeks ago

    Swindon, United Kingdom Zurich Insurance Full time

    **Compliance Administrator** **(Part-Time, Job-Share and Full-Time)** **Location: Swindon/London/hybrid working** **The opportunity**: A fantastic opportunity has arisen for a Compliance Administrator to join the Assurance team within UK Compliance. The team is responsible for assuring Senior Management that Zurich UK complies with the regulatory...

  • Compliance Administrator

    2 weeks ago

    Swindon, United Kingdom Zurich Insurance Full time

    **Compliance Administrator** **(Part-Time, Job-Share and Full-Time)** **Location: Swindon/London/hybrid working** **The opportunity**: A fantastic opportunity has arisen for a Compliance Administrator to join the Assurance team within UK Compliance. The team is responsible for assuring Senior Management that Zurich UK complies with the regulatory...

  • Compliance Officer

    2 months ago

    Swindon, United Kingdom RWE Full time

    **RWE Renewables UK Management Ltd., Swindon** **To start as soon as possible, Full time, Permanent** **Functional area**: Finance / Controlling Based in Swindon, UK, you will be responsible, and be the main contact, for Compliance of RWE’s Renewables business in the UK and Ireland. Your role involves regular interaction with Directors and senior...

  • Senior Procurement Manager Directives

    1 month ago

    Swindon, United Kingdom RWE AG Full time

    RWE Renewables UK Management Ltd.To start as soon as possible, full time, permanentFunctional area: Procurement Remuneration: PC RWE Central Procurement, hosted by RWE Offshore Wind GmbH, is responsible for the governance of RWE’s groupwide procurement activities as well as the procurement of all indirect demands of the RWE Group.The team “Directives...

  • Senior Procurement Manager Directives

    4 weeks ago

    Swindon, United Kingdom RWE AG Full time

    RWE Renewables UK Management Ltd.To start as soon as possible, full time / part time, permanentFunctional area: Procurement Remuneration: PC RWE Central Procurement, hosted by RWE Offshore Wind GmbH, is responsible for the governance of RWE’s groupwide procurement activities as well as the procurement of all indirect demands of the RWE Group.The team...

  • Senior Procurement Manager Directives

    3 weeks ago

    Swindon, United Kingdom RWE AG Full time

    Press Tab to Move to Skip to Content Link Select how often (in days) to receive an alert: Create Alert Location(s): Swindon, Wiltshire, GB, SN5 6PB Coventry, COV, GB, CV4 8PB London, City of London, GB, EC2R 8HP RWE Renewables UK Management Ltd. To start as soon as possible, full time / part time, permanent Functional area: Procurement ...

  • Compliance Manager/Senior Manager

    1 month ago

    Swindon, United Kingdom Storm Recruitment (Swindon) Full time

    Compliance Manager Remote - Field Based Required to travel for Interview in Birmingham office £40 Hours Per week Our client is looking for a Compliance Manager to represent them with suppliers, customers and potential new customers. You will also be required to ensure full compliance to asset management and operational processes. Develop...

  • Compliance Manager/Senior Manager

    3 weeks ago

    Swindon, United Kingdom Storm Recruitment (Swindon) Full time €28,000 - €29,500

    Compliance Manager Remote - Field Based Required to travel for Interview in Birmingham office £40 Hours Per week Our client is looking for a Compliance Manager to represent them with suppliers, customers and potential new customers. You will also be required to ensure full compliance to asset management and operational processes. Develop...

  • Compliance Manager/Senior Manager

    2 weeks ago

    Swindon, United Kingdom Storm Recruitment (Swindon) Full time €28,000 - €29,500

    Compliance Manager Remote - Field Based Required to travel for Interview in Birmingham office £40 Hours Per week Our client is looking for a Compliance Manager to represent them with suppliers, customers and potential new customers. You will also be required to ensure full compliance to asset management and operational processes. Develop...

  • Compliance Manager/Senior Manager

    2 weeks ago

    Swindon, United Kingdom Storm Recruitment (Swindon) Full time €28,000 - €29,500

    Compliance Manager Remote - Field Based Required to travel for Interview in Birmingham office £40 Hours Per week Our client is looking for a Compliance Manager to represent them with suppliers, customers and potential new customers. You will also be required to ensure full compliance to asset management and operational processes. Develop...

  • Senior IT Compliance Specialist

    2 weeks ago

    Swindon, United Kingdom Thermo Fisher Scientific Full time

    As a member of the PSG IT Core Services Team delivering solutions & support in partnership with local and global functions, we will provide operational compliance and technical support to the site driving efficient and compliant technology solutions. What will you do? Key contact to ensure operational compliance of IT Collaborate with global teams to...

  • Senior IT Compliance Specialist

    3 weeks ago

    Swindon, United Kingdom Thermo Fisher Scientific Full time

    As a member of the PSG IT Core Services Team delivering solutions & support in partnership with local and global functions, we will provide operational compliance and technical support to the site driving efficient and compliant technology solutions. What will you do? Key contact to ensure operational compliance of IT Collaborate with global teams to...

  • Reviewer (Compliance)

    3 weeks ago

    Swindon, United Kingdom Nationwide Building Society Full time

    What you’ll be doing You’ll pose important and challenging questions to the business asking if we are ‘doing the right thing’? So, confidence in providing constructive challenge based on rigorous analysis and testing, as well as asking the difficult questions in a range of environments is crucial. You’ll be responsible for: Compliance...

  • Compliance Officer

    1 week ago

    Swindon, United Kingdom RWE Full time

    **Compliance Officer M/F/t**: - **Location(s)**: - Swindon, Wiltshire, GB, SN5 6PB - Utrecht, UT, NL, 3521 AZ - Essen, NW, DE, 45141 **RWE Generation SE, Compliance** **To start as soon as possible, full time, permanent **Your responsibilities** The Compliance Officer RWE Generation SE is a direct report to the Chief Compliance Officer at RWE AG. You will...

  • Global Trade Compliance Manager

    3 weeks ago

    Swindon, United Kingdom TE Connectivity Full time

    At TE, you will unleash your potential working with people from diverse backgrounds and industries to create a safer, sustainable and more connected world.  Job Overview We are building a world class Global Trade Services (GTS) organization and the Aerospace, Defense and Marine (“ADM”) Business Unit manager plays a critical role in...

  • Global Trade Compliance Manager

    2 weeks ago

    Swindon, United Kingdom TE Connectivity Full time

    At TE, you will unleash your potential working with people from diverse backgrounds and industries to create a safer, sustainable and more connected world.  Job Overview We are building a world class Global Trade Services (GTS) organization and the Aerospace, Defense and Marine (“ADM”) Business Unit manager plays a critical role in...

  • Global Trade Compliance Manager

    3 weeks ago

    SWINDON, United Kingdom TE Connectivity Full time

    At TE, you will unleash your potential working with people from diverse backgrounds and industries to create a safer, sustainable and more connected world.  Job Overview We are building a world class Global Trade Services (GTS) organization and the Aerospace, Defense and Marine (“ADM”) Business Unit manager plays a critical role in supporting trade...