Compliance Oversight Team

7 months ago

London, United Kingdom Financial Conduct Authority Full time

Compliance Oversight Team - Policy specialist

**Salary**: National ranging from £51,200 to £59,000 and London £56,400 to £65,000
- Are you interested in a role where you can help the FCA to execute against risks of harm?_

The team/department

Risk and Compliance Oversight’s (RCO) vision is to continually improve its function as second line of defence for the FCA, working with each of the FCA’s Divisions to ensure the management of Own Risks (operational, execution/regulatory and public confidence risks); and to enable the FCA to successfully execute against Risks of Harm and, hence, help ensure it achieves its statutory and operational objectives.

In meeting this vision, R&CO is trusted, knowledgeable, responsive, and vigilant in discharging its accountabilities. This is achieved by setting the standards for the management of Own Risks and by providing oversight, assurance, and reporting on the performance of the FCA in managing them and the impact this has on our ability to successfully mitigate risks of harm. To support this aim the R&CO Division is responsible for:
- Defining and owning the FCA Risk Management Framework including the Policy and Control framework- Providing ongoing guidance and oversight of risk management across the FCA- Enterprise-wide risk analysis and reporting- Delivery of Regulatory Investigations and Assurance- Overseeing Compliance- Complaints

We are recruiting for talented individuals to work in our Compliance Oversight Team. The team focuses on the FCA's obligations as an employer, regulator, and public body, and is responsible for the FCA's Policy and Control Framework. The team works with compliance policy owners and first line business areas to oversee the development, implementation, and operation of FCA Policies and procedures to achieve appropriate operating standards. Core activities include Policy definition and review, compliance monitoring and reporting and assessing how effectively Policy, standards and control frameworks are being embedded across the organisation. The team are also responsible for the implementation of a Control Room function for the organisation.

This is an exciting time for the team as we look to deliver enhanced professional standards across the FCA and embed associated behaviours and culture as part of our wider transformation. The work of the team is strongly supported by Executive and Board committees, and we report to them quarterly on progress and issues.

This is a high-profile role which requires a mix of delivery focus, Policy drafting and assurance skills and a deep understanding of delivering a policy and control framework. We are looking for a driven and high calibre Senior Associates with potential to develop and grow.

What you will be doing

For this role we are seeking an individual who has experience of working in a compliance function, with particular emphasis on Policy development and roll out and on driving enhancements to professional standards.

The role will work as part of the compliance team to support the development and enhancement of the FCA’s Policy and Control Framework and its components alongside BAU compliance activities. This will also include supporting the FCA’s Control Room function.

What you will get from the role- Engagement and opportunities to work with many of the operational functions of the FCA- A detailed understanding of all internal Policies - the standards for Policies and how they support risk management at the FCA- A broad understanding of the organisation’s risk management framework

Our competitive flexible benefits scheme gives you the opportunity to create a personalised benefits package, tailored to suit your lifecycle. You can use this allowance to purchase additional benefits such as dental or cycle to work or you have the option top up your base salary by taking this as cash.

Core benefits that you will receive as standard are:
- 25 days holiday per year plus bank holidays- Private healthcare with Bupa- A non-contributory Pension of at least 8% of basic salary each month (there are several contribution levels that increase depending on your age - up to 12% a month once you reach age 35)- Life assurance of eight times your basic salary- Income protection

We support hybrid working which means you will be able to work from home up to 60% of the time over a month with the remainder of your time in one of our three office locations.

The skills and experience you’ll have

Minimum- Compliance experience working for a regulated firm or equivalent public sector organisation- Demonstrable experience in drafting and rolling out compliance Policies- Demonstrable work experience in assessing key risks (and/or controls) to organisation or team objectives

Essential- Excellent excel, word and PowerPoint skills- Good stakeholder management skills with the ability to provide support, advice, and challenge to Senior Management, FCA policy owners and 1st line business areas on the deve

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