Compliance Policy Lead

6 months ago

London, United Kingdom Financial Conduct Authority Full time

Compliance Policy Lead

**Salary**: National ranging from £55,600 to £64,000 and London from £59,800 to £70,000
- Are you interested in a role where you can help the FCA _
- to _
- successfully manage Risks of Harm?_

The team/ department
- Risk and Compliance Oversight's (R&CO) 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-
- ComplaintsWe are recruiting for a talented individual to work in our Compliance Department as a Lead Associate. The Department 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 Department works with compliance policy owners and first line business areas to oversee the development, implementation and operation of FCA Policies and procedures to achieve high 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 Department are also responsible for the implementation of the Control Room function, and the Security & Vetting framework, for the organisation.
- This is an exciting time for the Department 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 Department is strongly supported by Executive and Board Committees, and we report to them quarterly on progress and issues.
- We are looking for a high calibre lead associate with potential to develop and grow.
- What you will be doing (the role)- Working across all aspects of FCA’s compliance with internal Policy - including drafting Policy and setting organisational standards for them-
- Completing high quality assurance reviews to assessing key risks-
- Delivering assurance through others, with a deep understanding of and the FCA’s risk and control frameworks and standards-
- This role will have line management responsibilities- What you will get from the role- The individual will work on a varied set of tasks and deliverables in the Department. This includes having the opportunity to lead on important projects shaping the second line view and input into the executive and the board and shaping the organisational approach to risk management-
- You will have a pivotal role and numerous opportunities where you'll be empowered to shape the approach and outcomes of reporting projects-
- You will also work continuously with colleagues both within R&CO and across the FCA to deliver these projects- 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 protectionWe 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 will have

Minimum- Demonstrable experience in drafting and rolling out Assurance programmes with experience in assessing key risks (and/or controls) to organisation or Department objectives-
- Strong written skills, which includes the ability to bring information together from various sources into clear, concise reporting and presentations for senior stakeholders-
- Compliance experience working for a regulated firm or equivalent pub

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