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Risk and Compliance Manager
2 months ago
Lloyd & Whyte Group Limited is seeking an experienced Risk and Compliance Manager to join our Risk and Compliance team. As a key member of our team, you will be responsible for delivering the Annual Risk and Compliance Monitoring Programme, ensuring compliance with regulatory requirements, and promoting a culture of 'Treating Customers Fairly'.
Key Responsibilities- Deliver individual objectives and key performance indicators as set and agreed
- Ensure compliance KPIs and objectives are met, ensuring a culture of 'Treating Customers Fairly' and putting the client first, with consistent delivery of the right customer outcomes
- Promote, develop, and enable our values and culture within the team and across the business
- Oversee compliance 'sign-offs' as required, e.g., changes to the online and offline client journey, financial promotions, letters, etc.
- Oversee regulatory breaches, complaints, data protection, financial crime, and all other relevant regulatory and legislative requirements
- Preparation and completion of FCA regulatory returns accurately and on a timely basis, e.g., Gabriel Return, Value Measures reporting, etc.
- Deliver the Training and Competence Plan, ensuring supervision and monitoring is completed to a high standard and within required timescales
- Periodically conduct audits and reviews to ensure implementation of compliance standards and investigate root causes of any issues identified
- Preparation, completion, and delivery of the Monthly Risk Assessments for each business
- Deliver the Risk and Compliance Monitoring Plan on a timely basis, ensuring high-quality reviews are completed in accordance with company standards
- Understand and develop own knowledge of regulatory and legislative obligations (including FCA and Data Protection) ensuring the business operates within the required standards
- Deliver added-value recommendations to assist the business in continuously improving the regulatory control environment
- Support our people by providing induction training on Risk and Compliance and Regulation
- Evaluate and review efficiencies in all compliance processes to ensure record keeping and monitoring is consistent throughout the business
- Work with and support other leaders and colleagues to share best practice and achieve common objectives
- Proven experience within the UK Insurance Industry
- Experienced within a similar Risk and Compliance based role
- Recognised industry and/or professional Level 3 Qualification
- Commitment to work towards the ICO Advanced Certificate in Compliance
- Consultative approach to business relationship management, proactively sharing 'what works best' with others
- Knowledge of FCA reporting via the online Connect and RegData system
- Knowledge of the ICO, FSCS, and other relevant regulatory or legislative requirements
- 28 Days holiday + UK Bank Holidays
- Paid day off on your birthday
- Enhanced Parental Leave - Maternity pay (after 2 years' service) = 13 weeks full pay and 13 weeks 1⁄2 pay with Paternity (after 2 years' service) = 4 weeks full pay
- Private Medical Insurance (individual cover)
- Company Pension Plan
- Income Protection Insurance Scheme
- Death in Service Benefit (x4 times your annual salary)
- Cash plan benefit to assist with medical and wellbeing costs
- Annual charitable donation to chosen charity
- Support and funding for study towards your professional qualification
- Free on-site parking
- Work from home (Once competent and agreed with line manager)
- Employee wellness programmes
- Cycle to Work Scheme
- Company Events
- Casual Dress
- Refer a friend scheme
- Paid time off for volunteering
