Regulatory Risk and Compliance Professional

1 month ago

North Shields, North Tyneside, United Kingdom NRG. Full time
About the Role

NRG is seeking a highly skilled Regulatory Risk and Compliance Professional to join our team as a Regulatory Risk and Compliance Manager. This key role will ensure our compliance frameworks are efficient and effective, fostering a strong compliance culture within the business.

Key Responsibilities

  • Lead and manage the Risk and Compliance team in the delivery of risk-based compliance monitoring.
  • Emerging risks and regulatory horizon scanning to stay informed on industry compliance regulations, trends, and implementing new regulatory requirements as needed.
  • Provide oversight and advisory activities to ensure the business distributes products and provides services that meet the needs of customers in meeting FCA Consumer Duty requirements.
  • Ensure the timely completion of periodic and ad-hoc requests for information from the CISL Board and other stakeholders.
  • Manage the liaison with external auditors and the timely completion of agreed audit actions.
  • Report accurate and timely outcomes of quality and compliance monitoring to the relevant stakeholders, identifying relevant risks and or areas for improvement.
  • Regularly update and maintain company policies and Risk and Compliance procedures.
  • Oversee compliance ‘signoffs’ as required, for example changes to the online and offline customer journey, financial promotions, customer correspondence etc.
  • Oversee the delivery of regulatory training and competence across multiple business areas through our eLearning programme.
  • Promote, develop, and enable our vision, values, and culture within the team and across the business.

Regulatory Relationships

  • Maintain open and productive relationships with the FCA and ICO and be a key point of contact in respect of compliance related matters.
  • Maintain open and productive relationships with the FOS ensuring the timely production of complaints related documentation and MI.
  • Preparation of regulatory returns and ad-hoc requests for information from the FCA.
  • Oversight of the investigation and management of compliance incidents including regulatory breaches through to resolution, and where relevant ensure these are reported to regulators within required timescales.

About You

  • Proven experience in an FCA regulated business, with relevant knowledge of the FCA handbook.
  • Proven track record in developing and managing a team of compliance professionals.
  • Relevant professional insurance, compliance or risk management qualifications are desirable but not essential.
  • Compliance management leadership in a middle-management role gained within financial services is essential.
  • Strong oral and written skills with excellent attention to detail.
  • Excellent analytical, problem-solving, and decision-making skills.
  • Self-motivated, proactive, and flexible with the ability to manage multiple projects and meet deadlines in a fast-paced environment.
  • Strong understanding of governance, risk, and compliance principles.
  • Excellent knowledge of FCA Consumer Duty.
  • Excellent stakeholder management and influencing skills.
  • Ability to innovate and improve processes to drive efficiency.

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