Risk and Compliance Manager

6 hours ago

Southampton, Southampton, United Kingdom Lloyd & Whyte Group Limited Full time
About the Role

Lloyd & Whyte Group Limited is seeking an experienced Risk and Compliance Manager to join our Risk and Compliance team. As a key member of our team, you will be responsible for delivering the Annual Risk and Compliance Monitoring Programme, ensuring compliance with regulatory requirements, and promoting a culture of 'Treating Customers Fairly'.

Key Responsibilities
  • Achieve individual objectives and key performance indicators as set and agreed
  • Ensure compliance KPIs and objectives are met, ensuring a culture of 'Treating Customers Fairly' and putting the client first, with consistent delivery of the right customer outcomes
  • Promote, develop and enable our values and culture within the team and across the business
  • Oversee compliance 'sign-offs' as required, e.g. changes to the online and offline client journey, financial promotions, letters etc.
  • Oversee regulatory breaches, complaints, data protection, financial crime and all other relevant regulatory and legislative requirements
  • Preparation and completion of FCA regulatory returns accurately and on a timely basis e.g. Gabriel Return, Value Measures reporting etc.
  • Deliver the Training & Competence Plan, ensuring supervision and monitoring is completed to a high standard and within required timescales
  • Periodically conduct audits and reviews to ensure implementation of compliance standards and investigate root causes of any issues identified
  • Preparation, completion and delivery of the Monthly Risk Assessments for each business
  • Deliver the Risk & Compliance Monitoring Plan on a timely basis, ensuring high-quality reviews are completed in accordance with company standards
  • Understand and develop own knowledge of regulatory & legislative obligations (including FCA and Data Protection) ensuring the business operates within the required standards
  • Deliver added-value recommendations to assist the business in continuously improving the regulatory control environment
  • Support our people by providing induction training on Risk & Compliance and Regulation
  • Evaluate and review efficiencies in all compliance processes to ensure record keeping and monitoring is consistent throughout the business
  • Work with and support other leaders and colleagues to share best practice and achieve common objectives
Requirements
  • Proven experience within the UK Insurance Industry
  • Experienced within a similar Risk & Compliance based role
  • Recognised industry and/or professional Level 3 Qualification
  • Commitment to work towards the ICO Advanced Certificate in Compliance
  • Consultative approach to business relationship management, proactively sharing 'what works best' with others
  • Knowledge of FCA reporting via the online Connect and RegData system
  • Knowledge of the ICO, FSCS and other relevant regulatory or legislative requirements
What We Offer
  • 28 Days holiday + UK Bank Holidays
  • Paid day off on your birthday
  • Enhanced Parental Leave - Maternity pay (after 2 years' service) = 13 weeks full pay and 13 weeks 1⁄2 pay with / Paternity (after 2 years' service) = 4 weeks full pay
  • Private Medical Insurance (individual cover)
  • Company Pension Plan
  • Income Protection Insurance Scheme
  • Death in Service Benefit (x4 times your annual salary)
  • Cash plan benefit to assist with medical and wellbeing costs
  • Annual charitable donation to chosen charity
  • Support & funding for study towards your professional qualification
  • Free on site parking
  • Work from home (Once competent and agreed with line manager)
  • Employee wellness programmes
  • Cycle to Work Scheme
  • Company Events
  • Casual Dress
  • Refer a friend scheme
  • Paid time off for volunteering

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