Regulatory Risk and Compliance Expert

1 week ago

London, Greater London, United Kingdom Quilter plc Full time
Key Responsibilities

We are seeking a highly skilled Regulatory Risk and Compliance Expert to join our team at Quilter plc. This is a unique opportunity to make a real impact in shaping the future of our business.

In this role, you will be responsible for providing second-line regulatory and compliance policy guidance for our financial planning activity. You will work closely with the 1LOD and assist in ensuring that QC personnel and key stakeholders conduct their business in accordance with the requirements of the relevant regulatory environments, internal risk appetite and policies and standards.

What You Will Do
  • Oversee the delivery of 2LOD risk assurance activity by conducting risk assessments of business lines, formulating the annual testing plan in conjunction with a third-party compliance consultant to conduct reviews of adviser files to ensure customers are receiving the right outcomes.
  • Oversee 1LOD investigations into material matters that are identified, including but not limited to whistleblowing escalations, adviser conduct issues, escalations from 1LOD, requests from the regulator, or risks identified as a result of 2LOD or 3LOD monitoring, analysis, or other assurance work.
  • Support the QC Chief Risk Officer in co-ordinating and communicating with the FCA in the completion of information requests and any resulting ongoing investigation work, co-ordinating closely with the Central Regulatory Liaison team.
  • Support the QC Chief Risk Officer in maintaining an effective second line framework for QC, including supporting on strategic initiatives as needed.
  • Constructively influence and partner with key internal stakeholders, including the QC Executive team, providing incisive risk analysis, and challenging on QC risk profile and its management.
  • Partner with other assurance/risk teams across Quilter, to develop an effective overall 'three lines' control framework.
  • Oversee the gathering, analysis, challenge and testing of data sources, management information and other intel available across QC, including from customers directly, to identify emerging and crystallised compliance risks and investigate these, challenging 1LOD in their controls and mitigations and holding 1LOD to account for consistency and application of standards and processes.
  • Oversee the tracking and oversight 1LOD delivery of regulatory returns in RegData, ensuring these are submitted on time and have been approved by the appropriate SMF return owner.
  • Prepare and provide necessary guidance on regulatory horizon management information to support regulatory risk reporting to the QC senior management team, regulated Boards and Audit and Risk Committees.
  • Assist with QC's strategy for responding to regulatory developments by overseeing the co-ordination of responses to regulatory publications and ensuring these are consistent with Quilter policy.
  • Provide a regulatory and compliance advisory service, which covers, but is not limited to a range of services such as ensuring QC compliance standards and practices meet regulatory expectations and are consistently interpreted across the business and delivering good customer outcomes and escalating concerns where customer outcomes may be negatively affected, or regulatory expectations are not being met.
  • Support and oversee regulatory and/or compliance technical change initiatives impacting the financial planning business, providing advice and challenge to ensure full compliance within agreed regulatory deadlines within accepted project management disciplines.
  • Work collaboratively with senior managers across the business area, taking responsibility for the development, maintenance, and effectiveness of QC compliance standards across the business to ensure consistency of approach and application, ensuring that these meet regulatory expectations and are consistent with agreed Quilter regulatory tolerances, internal policy, and risk appetite limits.
  • Support the creation and relevant delivery of compliance training content on all applicable regulations and legislations to ensure the interests of QC and its clients are protected.
  • Support the attestation of compliance with Group policies and standards owned within the Compliance team.
  • Provide high quality, incisive and timely reporting on regulatory and conduct risk, that satisfies executive and Board stakeholders at both at QC and Quilter plc level.
  • Provide effective challenge and insight to the QC governance fora of which you are a member/attendee, robustly setting out areas of heightened risk in relation to the activities undertaken, and influence management to achieve resolution of concerns identified.
  • Collaborate with the Quilter Risk Management Function and other Compliance teams to foster the sharing and implementation of best practice.
  • Support the QC Chief Risk Officer to discharge their duties as required.
  • Develop and maintain a network of industry wide contacts to enhance industry level intelligence and benchmark activities.
  • Champion an effective risk culture in QC including influencing the attitude to, and understanding of, risk across the business. A particular focus will be in relation to conduct risk culture, and the addressing of conduct risk concerns.
  • Support the QC CRO in your capacity as a 2LOD member of team through participation in relevant forums and committees.

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