Head of Assurance

3 weeks ago

London, United Kingdom Financial Conduct Authority Full time

About the FCA
- At the FCA, we’re creating a fair and more resilient financial system. We’re establishing more transparent relationships between financial services and customers, building trust in financial markets and protecting vulnerable consumers.

We’re currently on an exciting journey as we drive forward significant organisational, people, process, and technology transformation to become a more forward-thinking, proactive regulator. We will use data more effectively to drive better regulatory decisions and build greater cohesion across our broad financial services remit.

Significant improvements in digital enablement, business intelligence, market data and information management maturity are all being pursued to maintain our position as a world leader in financial services regulation.

The role

This role sits within Risk and Compliance Oversight, the FCA’s second line of defence, and will lead on assurance to Senior Management of the FCA’s delivery of its operational and regulatory outcomes. This will include assurance on the implementation of post-independent review outcomes (including those already delivered). The role will also manage the FCA’s approach to any future independent investigations, working with appointed external Independent Reviewers and their teams.

The incumbent will be responsible for sharing lessons learned from assurance work and any reviews and helping to articulate required outcomes for the FCA, whilst monitoring and reporting on progress against outcomes being implemented in the first line and managing any wider strategic and technical implications. This will include both internal and external reporting of progress against actions.

This role would also include managing any legal cases, including judicial reviews, which may occur related to independent reviews. The role will require liaison with any Independent Reviewers, the Executive Committee, the Board and its sub-committees, His Majesty’s Treasury, Treasury Select Committee and the Bank / Prudential Regulation Authority.

What does this job involve?- Provide assurance of regulatory approaches, judgements and outcomes and operational processes, procedures and controls in the first line of defence in accordance with an agreed assurance plan delivered to time, cost and quality.- Engage with all business areas on their implementation of recent and any future Independent Review recommendations, alongside the findings of other assurance work; tracking and delivering reports on progress, challenging first line on delivery and providing updates as required to internal and external stakeholders.- Drive forward a learning culture in the first line that engages with and supports learning from all assurance, review and audit work to identify long term changes in ways of working that lead to demonstrable improvements in the FCA’s operation, outcomes and achievements of its statutory and operational objectives.- Through all work undertaken, contribute fully to the development of risk opinions on the FCA’s strategy and business plan, as part of business planning and regular R&CO reporting to the Executive Committee and the Board.- Responsible for managing and overseeing all future independent reviews, commissioned by the Board, HMT or other Government department, from agreeing scope, Terms of Reference and investigation protocols with all relevant stakeholders to delivery, on plan, to quality and within budget.- Ensure strong relationships with all stakeholders and interested parties concerning assurance and Independent Reviews, both inside the FCA and externally, including Independent Investigators/Reviewers and their external support teams, FCA Board, Executive Directors, Directors, Heads of Departments and their teams, HMT, Treasury Select Committee and PRA/Bank of England where appropriate.- Oversee the high profile legal, technical and long-term strategic implications, post Independent Review publications, including case management of any resultant legal cases and judicial reviews.- Design, implement and maintain the FCA’s Assurance Framework, QA Principles, and all associated policies, standards, how to guides and processes as part of the FCA’s Risk Management Framework.- Proactively identify, implement and manage ways to ensure all assurance and wider independent review work is undertaken in a manner which delivers good quality, timely findings to enable the organisation to learn the lessons appropriately and rapidly.- Proactively work across internal and external stakeholders to enhance our assurance approach, including leveraging best practice from wider organisations (e.g. industry, public sector) and enhanced utilisation of data and data analytics to ensure all assurance is appropriately agile, and risk based.- Be an active, engaged member of the R&CO leadership team, seeking to develop, implement and ensure best practice risk management across the organisation at all times.- Recruit, develop and lead

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