Senior Regulatory Officer
4 weeks ago
Howden Group Holdings is seeking a highly skilled Senior Regulatory Officer to join our Compliance Function's Regulatory Team. This role is responsible for overseeing and supporting the Operating Entity in ensuring effective systems, controls, policies, and procedures are in place to meet applicable regulatory and conduct requirements.
Key Responsibilities- Support Broking teams in the regulatory field.
- Collaborate with other teams within the Compliance Function and business units to provide specialist support and expertise.
- Ensure existing or new systems and controls, governance, and non-financial misconduct regulatory requirements are correctly interpreted and applied across the Operating Entity.
- Understand and assist in the implementation of overseas regulatory requirements.
- Participate in specific initiatives/projects to conduct research, review, and consider more effective controls.
- Ensure the timely completion of allocated tasks, activities, and projects.
- Support the maintenance of processes associated with measuring the on-going regulatory risk profile of the Operating Entity's Appointed Representatives.
- Consider and respond to any Regulatory and Conduct concerns, issues, or breaches identified by either the first line monitoring functions or the Compliance Monitoring Team.
- Identify relevant Regulatory and Conduct training needs for the business area.
- Provide technical expertise to specific projects and initiatives.
- Keep informed of all regulatory and legal changes impacting the job role.
- Ensure up-to-date records are maintained at all times on the Company systems.
- Strong experience and knowledge of regulatory expectations.
- Strong experience working with Broking teams within the Insurance industry.
- Experience of using and navigating the FCA handbook and other regulatory expectations.
- Knowledge and understanding of insurance principles, products, and services.
- Strong written and oral communication skills.
- Analytical, problem-solving, and project management skills.
- Team worker.
- Influencing skills.
- Good planning, organisation, delivery, and time management skills.
- Able to prioritise effectively.
- Ability to articulate complex concepts simply.
- Educated to A level standard, including good GCSEs in English and Maths.
- (Preferred) University degree or recognised industry accreditation, particularly if this includes elements of Insurance/Auditing/Finance knowledge.
- Professional qualification (desirable).
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