Compliance and Risk Management Specialist

2 weeks ago

South Ockendon, Thurrock, United Kingdom Lloyd & Whyte Full time
Key Responsibilities

As a key member of the Lloyd & Whyte team, you will be responsible for ensuring the company's compliance with regulatory requirements and maintaining a culture of 'Treating Customers Fairly'. Your primary objectives will include:

  • Achieving individual objectives and key performance indicators as set and agreed
  • Ensuring compliance KPIs and objectives are met, with a focus on delivering the right customer outcomes
  • Promoting and developing our values and culture within the team and across the business
  • Overseeing compliance 'sign-offs' and changes to the client journey, financial promotions, and other relevant regulatory requirements
  • Managing regulatory breaches, complaints, data protection, financial crime, and other relevant regulatory and legislative requirements
  • Preparing and completing FCA regulatory returns accurately and on a timely basis
  • Delivering the Training & Competence Plan, ensuring supervision and monitoring is completed to a high standard
  • Conducting audits and reviews to ensure implementation of compliance standards and investigating root causes of any issues identified
  • Preparing and delivering the Monthly Risk Assessments for each business
  • Delivering the Risk & Compliance Monitoring Plan on a timely basis, ensuring high-quality reviews are completed in accordance with company standards
  • Developing and maintaining knowledge of regulatory and legislative obligations, ensuring the business operates within required standards
  • Providing added-value recommendations to assist the business in continuously improving the regulatory control environment
  • Supporting our people by providing induction training on Risk & Compliance and Regulation
  • Evaluating and reviewing efficiencies in all compliance processes to ensure record keeping and monitoring is consistent throughout the business
Key Skills and Behaviours

We are looking for a talented and assured individual who can demonstrate the following skills and behaviours:

  • Demonstrating our values of Fun, Supportive, Professional, working in Partnership, and Ambitious
  • Talented and assured in people and performance management
  • Dependable leader with the ability to encourage and work in a trusted environment
  • Effective at promoting a team focus on technical excellence with service and quality standards at the forefront
  • Inspiring people through motivational coaching and training
  • Creating followership in a regulated, compliant, and client-focused environment
  • Confident and capable in communicating, networking, presenting, influencing, managing relationships, and providing an excellent client experience
  • Flexible, pragmatic, adaptable, and approachable
  • Organised and resourceful with exceptional ability to project manage and delegate
  • Knowledgeable of FCA regulations, particularly Conduct Risk & Consumer Duty
  • Working knowledge of the FCA Connect System
  • Commercially sensitive while considering business and regulatory risks, with strong business knowledge and a thorough understanding of insurance products, distribution, and processes
  • IT literate, analytical, and an effective problem solver
Qualifications

We require a recognised industry and/or professional Level 3 Qualification and a commitment to working towards the ICO Advanced Certificate in Compliance.

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