Risk and Compliance Manager

2 weeks ago

South Ockendon, Thurrock, United Kingdom Lloyd & Whyte Full time
About the Role

We are seeking a highly skilled 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 agree individual objectives and key performance indicators, ensuring timely completion and delivery of results.
  • Ensure Compliance: Oversee compliance KPIs and objectives, 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, fostering a positive and supportive work environment.
  • Regulatory Oversight: Oversee compliance 'sign-offs', changes to the client journey, financial promotions, and other regulatory requirements, ensuring accuracy and timeliness.
  • 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, Value Measures reporting, and other relevant reports, ensuring accuracy and timeliness.
  • Training and Competence: Deliver the Training & Competence Plan, ensuring supervision and monitoring are completed to a high standard and within required timescales.
  • Audits and Reviews: Conduct periodic audits and reviews to ensure implementation of compliance standards, investigate root causes of issues, and implement corrective actions.
  • Risk Assessments: Prepare, complete, and deliver the Monthly Risk Assessments for each business, ensuring accuracy and timeliness.
  • 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: Develop and maintain knowledge of regulatory and legislative obligations, including FCA and Data Protection, ensuring the business operates within required standards.
  • Added-Value Recommendations: Provide recommendations to assist the business in continuously improving the regulatory control environment.
  • Induction Training: Support new employees by providing induction training on Risk & Compliance and Regulation.
  • Process Efficiency: Evaluate and review efficiencies in all compliance processes, ensuring record keeping and monitoring are consistent throughout the business.
  • Collaboration: Work with and support other leaders and colleagues to share best practice and achieve common objectives.
Requirements
  • 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, with a focus on technical excellence and service quality standards.
  • Leadership: Dependable leader with the ability to encourage and work in a trusted environment, promoting a team focus on technical excellence and service quality standards.
  • Communication and Influencing: Confident and capable in communicating, networking, presenting, influencing, managing relationships, and providing an excellent client experience.
  • Flexibility and Adaptability: Flexible, pragmatic, adaptable, and approachable, with a strong ability to project manage and delegate.
  • Regulatory Knowledge: Knowledgeable of FCA regulations, particularly Conduct Risk & Consumer Duty, with a working knowledge of the FCA Connect System.
  • Commercial Awareness: Commercially sensitive, with a strong understanding of insurance products, distribution, and processes.
  • IT Literacy: IT literate, analytical, and an effective problem solver, with a strong ability to analyze data and make informed decisions.
Qualifications
  • Industry and Professional Qualifications: Recognized industry and/or professional Level 3 Qualification.
  • Commitment to Compliance: Commitment to work towards the ICO Advanced Certificate in Compliance.

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