Compliance Senior Associate

5 days ago

London, Greater London, United Kingdom Broadstone Corporate Benefits Limited Full time
About the Role

We are seeking a highly skilled and experienced Compliance Senior Associate to join our team at Broadstone Corporate Benefits Limited. As a key member of our Compliance function, you will play a critical role in ensuring that our business operates in compliance with all relevant laws and regulations.

Key Responsibilities
  • Regulatory Compliance: Provide guidance on key compliance issues, supporting key risk mitigation activities, to ensure an effective Compliance & Legal function across Broadstone.
  • Reporting and Management Information: Prepare required reporting/Management Information for Group Exco, Regulatory Board and Committees.
  • Compliance Oversight: Provide Compliance oversight and advice to the Broadstone business, working collaboratively with the relevant division heads whilst developing and implementing the Compliance strategy; ensure all applicable regulatory obligations are complied with to prevent fines or penalties due to non-compliance.
  • Regulatory Returns: Submit appropriate and accurate Regulatory returns - FCA/ Institute and Faculty of Actuaries/DPB, SMCR requirements and other necessary regulatory reporting.
  • Breaches and Complaints: Manage breaches & complaints to deliver the right outcome for clients and/or the business, and report to management and external bodies as appropriate.
  • Compliance Queries: Resolve queries / respond to requests relating to the businesses compliance to laws and regulations as raised by regulators including the FCA, IFoA and Information Commissioners Office; notify regulatory bodies where necessary.
  • System Implementation: Participate in the implementation of new systems to enhance or augment the organisation's compliance efforts in conjunction with the I&T Team.
  • Team Management: Manage, motivate and develop your Compliance staff to provide a high-quality effective Compliance function.
  • Legal Matters: Provide necessary input on legal matters including client, provider, suppliers and introducer contracts.
Requirements
  • Regulatory Knowledge: Appropriate knowledge of the financial services industry/regulatory environment within which the organisation works, including knowledge of relevant regulatory rules.
  • Interpersonal Skills: Effective interpersonal skills, sound judgment and sensitivity to deal with confidential business and client-related issues.
  • Compliance and Risk: Understanding of compliance and risks related to Broadstone services.
  • Analysis and Assessment: Ability to analyse and assess impact of regulatory changes.
  • Technical Skills: Windows computer packages, including Microsoft Outlook, Word, PowerPoint and Excel.
About Us

Broadstone Corporate Benefits Limited is a leading, independent provider of specialist pensions, trustee, and employee benefits solutions to small to medium enterprises and large corporates. We are committed to delivering exceptional customer service and building long-term relationships with our clients.

What We Offer
  • Total Reward Package: A competitive salary, 25 days holiday, plus bank holidays (with the option to buy more), generous pension scheme, fully supported Study Programme, health cash plan, life assurance, group income protection, eye tests, social events, community volunteering days, employee assistance programme, health club discounts, give as you earn scheme, personal accident insurance, travel insurance, health assessments, dental insurance, cycle to work scheme, tech scheme, critical illness, cancer checks, the green car scheme, and discounts on entertainment, cars, insurance, and much more.
Our Values

We are committed to delivering exceptional customer service and building long-term relationships with our clients. Our values include:

  • Client First: We aim to be the most customer service centric business in the sector.

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