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Compliance Specialist

2 months ago

London, Greater London, United Kingdom WTW Full time
About the Role

We are seeking a highly skilled Compliance Business Partner to join our team at WTW. As a key member of our Compliance Function, you will play a critical role in maintaining an efficient and independent Compliance Framework.

Key Responsibilities
  • Identify, Plan and Apply
    • Develop and maintain an efficient Compliance Framework, ensuring it is aligned with regulatory requirements and WTW's business needs.
    • Map the regulatory landscape, identify emerging risks, and develop strategies to mitigate them.
    • Assess and improve policies, procedures, and controls to ensure they meet regulatory and compliance requirements.
    • Closure of Compliance-owned actions and supporting the closure of regulatory recommendations following internal/external audits.
    • Identify compliance training needs and develop training programs to ensure the Relevant Business is compliant.
    • Identify and assess compliance and regulatory risks, providing recommendations for mitigation.
    • Create and deliver an annual Compliance Plan for the Relevant Business.
  • Support
    • Champion Compliance at all levels of the Relevant Business, partnering with the business to provide pragmatic risk-based advice and counsel.
    • Partner with business management to define the Compliance strategy for the Relevant Business.
    • Provide challenge and oversight on business management's assessment and governance of compliance and regulatory risk.
    • Provide guidance and advice on business conduct and ethical standards, including the Code of Conduct.
    • Partner with the business to review and challenge the design and structuring of specific transactions, new products, services, operational procedures, operational change, and initiatives.
  • Monitor
    • Carry out monitoring activities in line with the annual Compliance Plan and on an ad-hoc basis, ensuring remedial action is taken and material issues, incidents, and breaches are escalated to relevant stakeholders.
    • Support the Excellence function in the performance of selected Excellence Reviews, focusing on compliance with regulatory requirements and Compliance policies/procedures.
    • Collate and deliver accurate and appropriate compliance metrics and information to relevant stakeholders.
  • Engagement
    • Maintain effective relationships with regulators and relevant supervisory authorities or self-regulating bodies.
    • Represent WTW in relevant industry or similar associations or groups as appropriate.
    • Act as a professional, trusted, and transparent Business Partner to the Relevant Business and other stakeholders.