Head of Compliance

4 weeks ago

Lincoln Lincolnshire, United Kingdom Hireful Full time

This role:

  • Carries operational responsibility for ensuring Barbon’s products and services and how they are delivered are in line with regulatory requirements and the Group’s policies and standards, in order to provide positive and fair outcomes for customers
  • Aids the business to grow and succeed in a compliant way, and aims to help the Division achieve the right balance between risk taking and control
  • Carries line management responsibility and a requirement to develop a team that delivers operational compliance 1LoD support to the Division, including FCA regulated complaints management.

This role requires a ‘hands on’ work ethic, undertakes key activities and manages a small team.

  • Act as risk and compliance focal point for Barbon and responsible for supporting delivery on the Divisional R&C agenda
  • Manage a team that helps support the business deliver on its priorities and manage escalation of compliance enquiries/issues both within the business and to the 2LoD in a timely manner
  • Drive greater ownership of 1LoD decision making through improving knowledge and expertise and developing the appropriate business tools
  • Ownership and responsibility for the product governance framework across the division ensuring the group’s processes incorporate the latest legislative and regulatory requirements. This includes product governance reporting to Group, completion of product reviews and management of FVA and TMS for products.
  • Work with 2LoD to understand the impact of changes in regulation and deliver on required activity within Barbon
  • Promote a collaborative, responsive and solution driven compliance culture that supports business growth

Undertake core risk and regulatory activities including:

  • Co-ordinating the review and update of Barbon’s risk and control assessment.
  • Undertakes specialist training & competency (including training on key policies and processes) and monitoring the completion of mandatory regulatory training and CPD.
  • Ensure relevant controls exist across the business and support/monitor compliance with FCA requirements and Group risk & compliance policies
  • Reviewing and ensuring key businesses processes and documentation putting the customer first, and meeting regulatory requirements
  • Responding to day-to-day compliance queries in an effective and timely manner
  • Undertaking regular 1LoD reviews and reviewing the output of QA reviews to identify deficiencies in local procedures or training and competency, and suggesting appropriate remedies to be undertaken
  • Logging managing and monitoring breaches and E&Os in line with FCA service standards & Group policies
  • Reviewing and signing-off financial promotions, ensuring communications are compliant and technically accurate
  • Reviewing products to ensuring they are in line with product governance requirements and deliver fair value for customers
  • Identifying and raising awareness of improvement areas through root cause analysis in respect of FCA regulated complaints and E&Os and ensure these are fed into business training
  • Providing information and support in connection with insurer audits and supporting the monitoring and closing out of key remedial actions
  • Providing information and support in connection with 2LoD Assurance Reviews and 3LoD Internal 
Essential
  • A’ Levels
  • A minimum of 5 years experience undertaking a similar role within an FCA regulated insurance environment
  • Experience of working collaboratively with the 2LoD
  • Track record of reviewing regulatory developments and supporting the delivery of regulatory improvements
  • Track record of interpreting and applying relevant regulation in a proportionate and appropriate way and discussing/explaining compliance matters in a clear way
  • A strong understanding of the regulatory framework in which the business operates.
  • Good level of understanding of the FCA handbook including:
  • ICOBS
  • PROD
  • DISP
  • SYSC

Desirable

  • Degree
  • Relevant financial services, insurance or compliance qualifications
  • Experience of delivering training
  • Experience of project management

Further information:

  • As well as a competitive salary we offer the following benefits -
  • Competitive holiday allowance with the annual option to buy additional days
  • Death in Service benefit of x4 salary
  • Company pension scheme
  • Enhanced maternity and paternity leave packages
  • A flexible benefits package which allows you to add additional benefits to your overall package
  • Our benefits portal offers discounts on technology & electronics, cinemas, restaurants, days out, mortgage advice, travel and many more
  • Referral schemes
  • Discounted rates on PIB products
  • We offer a first-class employee benefits and welfare package to support our employees with financial management, cycle to work scheme, counselling support, health screening, will writing, menopause support, books, stopping smoking and much more
  • If supporting the local community, engaging with charities and having the opportunity to ‘give something back’ interests you, you have the opportunity to take an extra day to support this with a Volunteering day.
  • We also offer a wide range of discounts including a kids pass – giving you discount to over 4500 attractions and activities, discounts at hairdressers and beauticians, climate change projects with lots of other options to choose

REF-213660

#J-18808-Ljbffr

  • Head of Compliance

    7 days ago

    Grantham, Lincolnshire, United Kingdom Pilgrim's Shared Services Full time

    My job The role of European Head of Ethics & Compliance is to implement and maintain a best-in-class compliance program for Pilgrim’s Europe. Pilgrim’s Europe is comprised of twelve trading companies including Pilgrim’s UK, Moy Park and Pilgrim’s Food Masters UK. The European Head of Ethics & Compliance will report to the Head of Ethics and...

  • Head of Compliance

    7 days ago

    Grantham, Lincolnshire, United Kingdom Pilgrim's Shared Services Full time

    My job The role of European Head of Ethics & Compliance is to implement and maintain a best-in-class compliance program for Pilgrim’s Europe. Pilgrim’s Europe is comprised of twelve trading companies including Pilgrim’s UK, Moy Park and Pilgrim’s Food Masters UK. The European Head of Ethics & Compliance will report to the Head of Ethics and...

  • Head of Compliance

    4 weeks ago

    Lincoln, United Kingdom Hireful Full time

    This role: Carries operational responsibility for ensuring Barbon’s products and services and how they are delivered are in line with regulatory requirements and the Group’s policies and standards, in order to provide positive and fair outcomes for customers Aids the business to grow and succeed in a compliant way, and aims to help the Division...

  • Casework and Compliance Assistant

    5 days ago

    Lincoln, Lincolnshire, United Kingdom University of Lincoln Full time

    Secretariat:Location**: LincolnSalary: From £23,151 per annumPlease note, this post is permanent and full time at 37 hours per week.Closing Date: Tuesday 11 June 2024Interview Date: Friday 21 June 2024Reference: AR4154AWe are looking for an experienced administrator to join the Legal and Compliance Services team as a Casework and Compliance Assistant.As...

  • Partner & Head of Private Client

    4 weeks ago

    Lincoln, Lincolnshire, United Kingdom Reed Full time

    Are you a dynamic and driven Private Client Solicitor or Legal Executive looking for your next challenge? Find out exactly what skills, experience, and qualifications you will need to succeed in this role before applying below. I am recruiting for a Partner & Head of Private Client for a well-known Lincolnshire Law firm. You would be looking after over 30...

  • Partner & Head of Private Client

    3 weeks ago

    Lincoln, Lincolnshire, United Kingdom Reed Full time

    Are you a dynamic and driven Private Client Solicitor or Legal Executive looking for your next challenge? Find out if this opportunity is a good fit by reading all of the information that follows below. I am recruiting for a Partner & Head of Private Client for a well-known Lincolnshire Law firm. You would be looking after over 30 fee earners across...

  • Partner & Head of Private Client

    3 weeks ago

    Lincoln, Lincolnshire, United Kingdom Reed Full time

    Are you a dynamic and driven Private Client Solicitor or Legal Executive looking for your next challenge? The full job description covers all associated skills, previous experience, and any qualifications that applicants are expected to have. I am recruiting for a Partner & Head of Private Client for a well-known Lincolnshire Law firm. You would be...

  • Partner & Head of Private Client

    3 weeks ago

    Lincoln, Lincolnshire, United Kingdom Reed Full time

    Are you a dynamic and driven Private Client Solicitor or Legal Executive looking for your next challenge? The full job description covers all associated skills, previous experience, and any qualifications that applicants are expected to have. I am recruiting for a Partner & Head of Private Client for a well-known Lincolnshire Law firm. You would be...

  • Casework and Compliance Assistant

    2 weeks ago

    Lincoln, United Kingdom University of Lincoln Full time

    **Secretariat***:Location**: Lincoln **Salary**: From £23,151 per annum Please note this post is permanent and full-time at 37 hours per week. **Closing Date**: Tuesday 21 May 2024 **Interview Date**: Wednesday 05 June 2024 **Reference**: AR4154 We are looking for an experienced administrator to join the Legal and Compliance Services team as a...

  • Private Client Partner

    4 weeks ago

    Lincoln, Lincolnshire, United Kingdom Oculus Legal Group Full time €75,000 - €95,000

    Private Client Head of Department - Prestigious Law Firm (Legal 150) - Lincolnshire (Hybrid Working) A unique and exciting opening has emerged for a Private Client Solicitor or Legal Executive to join a top-tier firm in the capacity of Partner or Legal Director as head of department. Renowned for its exceptional company culture, placing employees at the...

  • Private Client Partner

    3 weeks ago

    Lincoln, Lincolnshire, United Kingdom Oculus Legal Group Full time €75,000 - €95,000

    Private Client Head of Department - Prestigious Law Firm (Legal 150) - Lincolnshire (Hybrid Working) A unique and exciting opening has emerged for a Private Client Solicitor or Legal Executive to join a top-tier firm in the capacity of Partner or Legal Director as head of department. Renowned for its exceptional company culture, placing employees at the...

  • Governance & Compliance Officer

    1 month ago

    Lincolnshire, United Kingdom Select Full time

    Job Purpose:Reporting to the Head of Risk and Governance, the Governance Officer will support the practice governance elements of the organisation, the policy framework, personal and employer insurance and claims, risk assurance, systems and process compliance assurance, and data protection. The Governance Officer will provide administrative and operational...

  • Casework and Compliance Assistant

    3 weeks ago

    Lincoln, United Kingdom University of Lincoln Full time

    **Secretariat***:Location**: Lincoln **Salary**: From £23,151 per annum Please note, this post is permanent and full time at 37 hours per week. **Closing Date**: Tuesday 11 June 2024 **Interview Date**: Friday 21 June 2024 **Reference**: AR4154A We are looking for an experienced administrator to join the Legal and Compliance Services team as a...

  • Casework and Compliance Assistant

    3 weeks ago

    Lincoln, United Kingdom University of Lincoln Full time

    AR4154A We are looking for an experienced administrator to join the Legal and Compliance Services team as a Casework and Compliance Assistant. As part of this role, you will administer student and related casework processes, such as student complaints, whistleblowing, and academic appeals, by assigning, monitoring, and closing cases. You will provide...

  • Compliance Facilitator

    3 weeks ago

    Lincoln, United Kingdom United Lincolnshire Hospitals NHS Trust Full time

    An opportunity has arisen for a Compliance Facilitator with a commitment to supporting the Trust make continued progress against regulatory frameworks. The post is a fixed term contract for 6 months to provide maternity cover. It offers the opportunity to gain valuable experience within an important area of work. Working as part of the team, you will act to...

  • Compliance Facilitator

    3 weeks ago

    Lincoln, United Kingdom United Lincolnshire Hospitals NHS Trust Full time

    An opportunity has arisen for a Compliance Facilitator with a commitment to supporting the Trust make continued progress against regulatory frameworks. The post is a fixed term contract for 6 months to provide maternity cover. It offers the opportunity to gain valuable experience within an important area of work. Working as part of the team, you will act to...

  • Estates Compliance Coordinator

    4 days ago

    Lincoln, United Kingdom University of Lincoln Full time

    EF5362A We are looking for an experienced Estates Compliance Coordinator who can manage, assess, and assist to enhance the University’s compliance systems such as, but not limited to; asbestos, legionella, lifting equipment, and permit to work. This includes arranging routine inspections, raising any issues, chasing work, and ensuring records are up to...

  • Head of Care

    4 weeks ago

    Lincoln, United Kingdom Order of St Johns Full time

    **Head of Care** **Location: Boultham Park House** **Lincoln, Lincolnshire** **Salary: £23,000* Per Annum (DOE)** **Hours: 30 Hours Per week** **Shift Pattern : Shift Pattern : 5 days a week, shifts (8-3.30) & (12p.m-9.30pm)** **ABOUT THE ROLE** Are you an experienced Head of Care, with the passion to make a difference? Can you lead a team of people to...

  • Head of Education, Skills and Work

    2 months ago

    Lincoln, United Kingdom Ministry of Justice Full time

    **Head of Education, Skills and Work - HMP Morton Hall - 69933** **£39,674 - £45,625** **Lincoln**: **Background to the Role** The reoffending rate has remained broadly static at around 29% since 2010. Reoffending is costing society approximately £18bn per year and almost half of all prisoners reoffend within 12 months of release. The Prisons Strategy...

  • Senior Compliance Monitoring

    7 days ago

    Grantham, Lincolnshire, United Kingdom Pilgrim's Shared Services Full time

    My job The role of European Head of Ethics & Compliance is to implement and maintain a best-in-class compliance program for Pilgrim’s Europe. Pilgrim’s Europe is comprised of twelve trading companies including Pilgrim’s UK, Moy Park and Pilgrim’s Food Masters UK. The European Head of Ethics & Compliance will report to the Head of Ethics and...