Regulatory Risk

6 days ago

north shields, United Kingdom NRG Full time

We are currently working with a Financial Services client based in North Tyneside who are looking for a Regulatory Risk and Compliance Manager to join their team in order to ensure compliance frameworks are efficient and effective.

This role has a salary up to £45,000, working Monday to Friday 9-5, with hybrid working available after completing a successful probation.

You will report to the Head of Risk and Compliance, helping the client comply with regulatory requirements, industry standards and internal processes, whilst fostering a strong compliance culture within the team.

Whatsin it for you

  • 25 days holidays + bank holidays increasing to 28 after 5 years and a day off for your birthday.
  • Pension - employee 5% and employer 3%.
  • Parking on site.
  • Death in service 3 times salary.
  • Employee assistance programme.
  • Discount platform and a salary sacrifice season ticket for the metro.
  • Free flu jabs for anyone that wants to have them.
  • Cycle to work scheme.

About the role

  • Lead & manage the Risk & Compliance team in delivery of risk-based compliance monitoring.
  • Emerging risks and regulatory horizon scanning to stay informed on industry compliance regulations, trends, and implementing new regulatory requirements as needed.
  • Provide oversight and advisory activities to ensure the business distributes products and provides services that meet the needs of customers in meeting FCA consumer duty requirements.
  • Ensure the timely completion of periodic and ad-hoc requests for information from the CISL Board and other stakeholders.
  • Manage the liaison with external auditors and the timely completion of agreed audit actions.
  • Report accurate and timely outcomes of quality and compliance monitoring to the relevant stakeholders, identifying relevant risks and or areas for improvement.
  • Regularly update and maintain company policies and Risk & Compliance procedures.
  • Oversee compliance "signoffs" as required, for example changes to the online and offline customer journey, financial promotions, customer correspondence etc.
  • Oversee the delivery of regulatory training and competence across multiple business areas through our eLearning programme.
  • Promote, develop, and enable our vision, values, and culture within the team and across the business.

Regulatory Relationships

  • Maintain open and productive relationships with the FCA and ICO and be a key point of contact in respect of compliance related matters.
  • Maintain open and productive relationships with the FOS ensuring the timely production of complaints related documentation and MI.
  • Preparation of regulatory returns and ad-hoc requests for information from the FCA.
  • Oversight of the investigation and management of compliance incidents including regulatory breaches through to resolution, and where relevant ensure these are reported to regulators within required timescales.

About you

  • Proven experience in an FCA regulated business, with relevant knowledge of the FCA handbook.
  • Proven track record in developing and managing a team of compliance professionals.
  • Relevant professional insurance, compliance or risk management qualifications are desirable but not essential.
  • Compliance management leadership in a middle-management role gained within financial services is essential.
  • Strong oral and written skills with excellent attention to detail.
  • Excellent analytical, problem-solving, and decision-making skills.
  • Self-motivated, proactive, and flexible with the ability to manage multiple projects and meet deadlines in a fast-paced environment.
  • Strong understanding of governance, risk, and compliance principles.
  • Excellent knowledge of FCA Consumer Duty.
  • Excellent stakeholder management and influencing skills.
  • Ability to innovate and improve processes to drive efficiency.

If you are interested in this role, click 'apply now and a member of our team will be in touch

NRG is an equal opportunities employer committed to promoting a diverse and inclusive workplace. We oppose all forms of unlawful or unfair discrimination on the grounds of any protected characteristic. Our aim is to create an environment that encourages diversity, builds on individual differences, and responds equitably to the needs of all. We proactively take steps to fulfil our legal obligations, remove barriers, monitor for fairness, reflect the communities we serve, and enforce a zero-tolerance policy for breaches of our Equality and Diversity policy.


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