Senior Compliance Officer

2 months ago

Maidstone, United Kingdom eFinancialCareers Full time

**Key Job Responsibilities**:
**Regulatory**
- To be responsible for providing rigorous and accurate interpretation, advice, guidance and consultation on regulatory requirements.
- From a Second Line of Defence (2LOD) perspective, providing support to Senior Management and Operations in making their First Line of Defence (1LOD) decisions on key issues and regulatory requirements relevant to the business model and strategy.
- To deliver an environment in line with industry and regulatory requirements, ensuring key regulatory risks areunderstood, in particular, the FCA Handbook, PRA Rulebook, and the Senior Managers and Certification Regime. To deliver and implement an appropriate frameworkto manage and control these risks and support 1LOD in this.
- To lead the implementation of regulatory horizon scanning and regulatory change process, capturing relevant changes for information and action.
- As part of the horizon scanning process, to review and identify all relevant published regulatory papers, updates, and any other relevant communications from the regulators.Undertake analysis, interpret, and provide views and commentary recommending coursesof action/mitigation/challenges as required to Senior Management and the Board.
- To interpret regulatory permissions against the business activities performed and in line with both firms direction and business plan, as products evolve and develop.
- To be responsible for creating and leading an effective risk-based compliance monitoring plan, ensuring businessdelivery complies with applicable regulatory and industry best practice and enhancing the plan where necessary to reflect changes to strategy,business model and regulatory requirements..
- To provide a 2LOD view on ‘material outsourcing’ arrangements in line with regulatory requirements for third party product providers. To monitor the Procurement Team’s implementation of the outsourcing requirements through the Compliance Monitoring Planand provide 2LOD oversight on the management of risks.
- To compile TCF (Treating Customers Fairly), conduct and culture management information as part of compliance and risk reporting and monitoring, for discussion with Senior Management and Board.
- To ensure all supervisory, regulatory, statistical returns and notifications are completed and submitted to theFinancial Conduct Authority (FCA)accurately and in a timely manner.
- To support the review and update of policies, manuals and operating standards, from a risk and compliance perspective.
- To support develop knowledge and understanding of financial services regulation (FCA & PRA) as required to Committees, Senior Management, and staff.
- To develop and build constructive working relationships with a range of external and internal partners, including appropriate regulatory bodies (e.g. FCA and UK Finance). Respond promptly to requests for advice or information from these bodies.

**Operational**
- To be responsible for scheduling and maintaining a risk-based compliance monitoring schedule for all relevant FCA & PRA regulated business activities,ensuring that an effective audit trail is present.
- To approve financial promotions, financial documentation and web pages and recommend changes as necessary, from a 2LOD Compliance and Risk perspective, ensuring all regulatory compliance standards are adhered to.
- To embrace conduct regulation by driving a good conduct and culture through the Business.
- Responsible for acting in an advisory role to support the business in embracing good customer outcomes.
- Responsible for providing compliance and regulatory oversight/advice on projects and changes which affect the business and where they may align with the wider Group.
- To recommend the delivery of training required by the business lines as needed to continually support regulatory skills and knowledge through the business.
- Support and assist the Head of Compliance as required.
- To escalate any areas of concern to the Head of Compliance and the Chief Risk Officer, as necessary.

**Risk**
- Responsible for leading the annual review and update of the Risk Management Framework and Risk Appetite Framework with sign-off by the Executive and Board.Ensure they remain aligned to industry and regulatory requirements.
- Ensure that all required risk assessments activities are undertaken by 1LOD in an appropriate manner, adopting best practice, guidance, and overseeing the implementation of the Risk Management Framework.
- To oversee the 1LOD maintaining a Risk Management Register, thereby identifying all relevant risks and assessing residual risk exposure after effecting appropriate and proportionate mitigation.
- Support the senior management and risk owners to maximise risk opportunities within the laid down risk appetite and to maintain controls that are effective and proportionate to the size and nature of business undertaken
- To identify and review evidenced instances of incidents, control breakdowns or ineffective control coverage, ensuring ownership by the businesswith resolution and notification to relevant authorities where appropriate.

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