Risk and Compliance Manager
5 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 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 periodic 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: 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) to ensure 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.
- Process Efficiency: 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.
- Leadership: Talented and assured in people and performance management, 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: Flexible, pragmatic, adaptable, and approachable.
- Organisation: 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.
- 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
2 days ago
South Ockendon, Thurrock, United Kingdom Lloyd & Whyte Full timeAbout the RoleWe 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 ResponsibilitiesAchieve Individual Objectives: Set and achieve individual objectives...
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