Senior Regulatory Risk Manager
3 weeks ago
Regulatory Risk Oversight Manager: Products and Propositions page is loaded Regulatory Risk Oversight Manager: Apply locations Leeds time type Full time posted on Posted 3 Days Ago job requisition id JR001092 Job Type
Permanent Closing Date
21/06/2024 Schroders Personal Wealth aims to improve the way financial advice is offered, by making it more affordable, accessible and powerful for more people. To provide key Regulatory risk partnership to Products and Proposition team ensuring risks are understood, mitigated and controlled. Analyse, investigate and evaluate risk, develop policy recommendations whilst providing challenge and oversight. Job Title: Regulatory Risk Oversight Manager: As a Regulatory Risk Oversight Manager, you will play a pivotal role in providing crucial Regulatory risk partnership to the Products and Proposition team, ensuring comprehensive understanding, mitigation, and control of risks. Your responsibilities will include analysis, investigation, and evaluation of risks, while also developing policy recommendations and providing necessary challenge and oversight.
Contribute to and collaborate with a high-performing Risk team, offering top-tier second-line Regulatory Risk oversight to our business, particularly focusing on Products & Propositions, and other relevant areas as required.
Provide comprehensive risk opinions for committee approval papers, offer ad hoc advice and guidance, and support project/business priority deliverables as part of delivering effective oversight.
Review and assess policies, procedures, and internal guides as required to ensure alignment with regulatory requirements and best practices.
Extend support to the Head of Regulatory & Operational Risk and assist all Risk colleagues across wider Risk teams as needed.
A minimum of 5 years' experience in similar firms or within regulatory bodies.
Demonstrate a robust understanding of FCA regulations and the broader UK regulatory landscape, coupled with the ability to interpret and apply them pragmatically in real-life scenarios.
Exhibit a detailed understanding of mainstream UK financial services products and propositions.
Have experience with regulatory interactions such as notifications, variation of permissions, etc., with regulatory bodies.
Proficient in numeracy and literacy, with advanced skills in Excel, Word, and PowerPoint.
Experience in approving Financial Promotions is preferable.
In addition to a competitive salary, we offer these enticing benefits to employees:
Generous Holiday Entitlement: Enjoy 30 days of annual leave plus bank holidays, with the option to purchase 5 additional days.
Company Pension Contribution: A matched pension contribution of up to 15% of your base pay if you contribute 6%.
Additional Cash Allowance: Receive an extra 4% cash allowance that can fund various optional benefits, including Paid Sabbatical Leave, Dental Cover, Critical Illness Insurance, Gym Membership, or an electric/ULEV car.
Health & Wellbeing: We offer company-paid Private Medical Insurance, Life Insurance, and Health Screening.
Financial Advice: Access to free financial advice to help secure your financial future.
Car Allowance: Up to £9,000 annually if your role demands over 10,000 business miles a year.
Annual Bonus: Eligible after 3 months’ service, based on company/individual performance.
At Schroders Personal Wealth, we embrace individuality and encourage diversity of identity, experience, and thought.
We actively strive for inclusive behaviours and actions across our company and our work, including making appropriate adjustments for disabilities, long-term health conditions or neurodiversities to ensure equal opportunities for all.
Schroders Personal Wealth operates under the Senior Managers and Certification Regime as a solo-regulated firm and if this role is classed as a Certified Role under that regime you will be subject to enhanced vetting and will have a number of additional conduct and regulatory duties to adhere to, as well as certifying at least annually that you are fit and proper to perform this role.
What we are building at SPW has clearly caught your attention and you’re interested in working with us to change lives through providing more financial advice to more clients. The 'Search for Jobs' page shows you all our current roles, each providing an opportunity to develop your career in an organisation that, through innovative products and technology and a clear client focus, has set its sights on being at the forefront of the Wealth Management market.
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