Risk and Compliance Manager
3 days ago
We are seeking a highly skilled and experienced Risk and Compliance Manager to join our team at Lloyd & Whyte. As a key member of our organization, you will play a critical role in ensuring that our business operates within the required regulatory standards.
Key Responsibilities- Achieve Individual Objectives: Set and achieve individual objectives and key performance indicators (KPIs) as agreed with the management team.
- Ensure Compliance: Ensure that all compliance KPIs and objectives are met, promoting a culture of 'Treating Customers Fairly' and prioritizing client outcomes.
- Culture Development: Promote, develop, and enable our values and culture within the team and across the business.
- Compliance Oversight: Oversee compliance 'sign-offs' as required, changes to the online and offline client journey, financial promotions, letters, and other relevant documents.
- Regulatory Breaches: Identify, investigate, and address regulatory breaches, complaints, data protection, financial crime, and other relevant regulatory and legislative requirements.
- Reporting and Audits: Prepare and complete FCA regulatory returns accurately and on a timely basis, Gabriel Return, Value Measures reporting, and conduct audits and reviews to ensure implementation of compliance standards.
- Training and Competence: Deliver the Training & Competence Plan, ensuring supervision and monitoring is completed to a high standard and within required timescales.
- Risk Assessments: Periodically conduct audits and reviews to ensure implementation of compliance standards and investigate root causes of any issues identified.
- Monthly Risk Assessments: Prepare, complete, and deliver the Monthly Risk Assessments for each business.
- Risk and Compliance Monitoring: Deliver the Risk & Compliance Monitoring Plan on a timely basis, ensuring high-quality reviews are completed in accordance with company standards.
- Regulatory Knowledge: Understand and develop own knowledge of regulatory & legislative obligations (including FCA and Data Protection) ensuring the business operates within the required standards.
- Added-Value Recommendations: Deliver added-value recommendations to assist the business in continuously improving the regulatory control environment.
- Induction Training: Support our people by providing induction training on Risk & Compliance and Regulation.
- Efficiency Reviews: Evaluate and review efficiencies in all compliance processes to ensure record keeping and monitoring is consistent throughout the business.
- Collaboration: Work with and support other leaders and colleagues to share best practice and achieve common objectives.
- Values and Culture: Demonstrate, live, and instil our values of Fun, Supportive, Professional, working in Partnership, and Ambitious.
- People and Performance Management: Talented and assured in people and performance management.
- Leadership: Dependable leader with the ability to encourage and work in a trusted environment.
- Team Focus: Effective at promoting a team focus on technical excellence with service and quality standards at the forefront.
- Motivational Coaching: Inspire people through motivational coaching and training.
- Communication: Confident and capable in communicating, networking, presenting, influencing, managing relationships, and providing an excellent client experience.
- Flexibility and Adaptability: Flexible, pragmatic, adaptable, and approachable.
- Organizational Skills: Organised and resourceful with exceptional ability to project manage and delegate.
- Regulatory Knowledge: Knowledgeable of FCA regulations, in particular Conduct Risk & Consumer Duty.
- IT Literacy: IT literate, analytical, and an effective problem solver.
- Commercial Awareness: Commercially sensitive whilst considering business and regulatory risks and have strong business knowledge with a thorough understanding of insurance products, distribution, and processes.
- Industry Qualification: Recognised industry and/or professional Level 3 Qualification.
- Commitment to Compliance: Commitment to work towards the ICO Advanced Certificate in Compliance.
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Risk and Compliance Manager
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South Ockendon, Thurrock, United Kingdom Ecclesiastical Insurance Group Full timeAbout the RoleWe are seeking an experienced Compliance Officer to join our team at Ecclesiastical Insurance Group. As a Compliance Officer, you will play a crucial role in ensuring that our business operations are in line with regulatory requirements and industry standards.Key Responsibilities:Conduct internal audits and monitoring to ensure compliance with...
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