Compliance Advisor

1 month ago

England, United Kingdom The Emerald Group Ltd, Search and Selection Full time

Purpose of the job:

To support the Head of Compliance in ensuring that the Society and related entities conform with regulatory requirements and internal policies. The Compliance Manager will take ownership, with oversight from the Head of Compliance, of certain aspects of the Compliance function and assist the wider Risk and Compliance team in improving the businesses approach to Compliance, in maturing the Compliance function, in supporting the business in understanding and meeting their compliance obligations and in demonstrating, championing, and instilling all the benefits that a good compliance culture can bring the business and their customers to all stakeholders

Principal accountabilities:

To support the Head of Compliance in ensuring that the Society has in place, and adheres to, appropriate systems and controls relevant to its business, its regulatory activities and activities ancillary to those regulatory activities in order to comply with all relevant laws, regulations, rules and best practices

To work with the Head of Compliance and the wider Society to identify, assess, manage, monitor and report on compliance risk exposures

To take the lead on identifying, assessing and communicating the occurrence and impact of regulatory and legislative change and, where called upon, support the business with implementing systems and controls to comply with that change

To take the lead on relevant aspects of the SM&CR, including (but not limited to) the maintenance of SoR’s and the Society’s responsibilities map, undertaking fitness and propriety checks and submitting SMF & CF applications to the applicable regulator

To work with the Head of Compliance and Chief Risk Officer to support the Executives in the overall reporting to the Audit and Compliance Committee, the Board and, where required, any other committee of the Board, on compliance matters

To take the lead on Compliance-owned regulatory reporting obligations and otherwise support the business in meeting its regulatory reporting requirements

To be the primary point of contact on Compliance matters and provide support to the Society’s Member Services department, with respect to general queries, complaints handling and vulnerable customers

To provide compliance support and sign-off of relevant communications, literature and financial promotions as required

Provide advisory and project support to areas of the business as required

To administer the output from the Society’s financial crime-related alerts system

To provide support on breaches and incidents ensuring all relevant information is captured and actions are clearly defined

To provide ad-hoc support to the Risk function where required

Knowledge, skills and abilities:

Demonstrable breadth of Compliance experience and understanding of FCA and PRA requirements within Insurance or similar Financial Services

Knowledge and understanding of the regulatory obligations of the Society including obligations arising from general and sector specific regulation, anti-money laundering regulation and data protection law

Ability and experience of interpreting legal or regulatory requirements and embedding Compliance requirements

Qualifications:

Desirable: Achieved or working towards a relevant compliance-related qualification from an appropriate accredited body, i.e. the CII or CISI

The above job description is a guide to the work you may be required to undertake but does not form part of your contract and may change from time to time.

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