Senior Compliance Specialist

Senior Compliance Specialist

Who are Diligenta?

Diligenta's vision is to be acknowledged as Best-in-class Platform-based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do, and our aim is to transform our clients' operations. A business that has been described as 'home' by existing employees, we drive a culture that is founded on positive change and development.

Summary of the role:

As a Senior Compliance Specialist, you will play a key technical and advisory role in ensuring Diligenta and the services it provides to its customers remain compliant with FCA rules, requirements, and principles. You will provide regulatory oversight, support strategic initiatives, and help foster a culture of compliance across the organisation. This role involves working collaboratively with internal teams, clients, and third-party providers to monitor regulatory risk, recommend and agree remedial actions, and ensure operational compliance on a day-to-day.

Benefits:

• 33 days including Bank Holidays
• Eligibility for an annual discretionary bonus scheme
• Personal and career development opportunities to progress your aspirations within the company as well as through our global parent company (Tata Consultancy Services)
• Access to Perks at Work (an online discounted shopping platform) saving you money on a wide range of goods and services, including your weekly food shop, holidays and electrical goods.
• Cycle to Work Scheme & Interest-free Season Ticket loans.
• A companywide Wellbeing programme, including an Employee Assistance Programme and other benefits/resources to support your mental/physical and financial wellbeing.
• A comprehensive set of Moments that Matter policies, such as Carer's Leave, Foster Leave and Retirement Leave
• A contributory company pension scheme where we match your contributions up to 6%, Group Life Assurance ('Death in Service') & Group Income Protection

What you'll be doing:

• Providing regulatory advice and guidance to business areas to ensure Diligenta operates without regulatory enforcement
• Provide second line regulatory oversight for client accounts and third-party outsourcers Producing regular and ad-hoc regulatory reports and promoting a culture of compliance Representing Compliance in strategic projects and initiatives, offering regulatory support and challenge
• Monitoring regulatory risk exposure, agreeing remedial actions, and supporting assurance to clients and senior compliance leadership
• Maintaining oversight of regulatory policies, processes, training, and internal controls Chairing internal forums and committees Training and mentoring Junior Compliance Specialists and providing guidance to less experienced colleagues
• Building and maintaining strong relationships with internal and external stakeholders
• Ensuring Retail Conduct Risk and Consumer Duty outcomes are considered and addressed

What we're looking for:

• Proven compliance experience (minimum 5 years) within the or Financial Services industry, ideally with a life and pensions background
• Solid understanding of FCA rules, TPR regulations, and HMRC requirements
• Experience providing oversight and acting as regulatory expert for into change initiatives
• Ability to influence management and propose regulatory solutions with impact
• Commercial awareness and ability to assess compliance implications of business initiatives
• Strong analytical and decision-making skills experience of interpreting regulatory requirements and communicating to business stakeholders
• Excellent verbal and written communication skills, with the ability to produce clear reports and challenge management information
• Experience working in outsourced environments and project settings is desirable

Do you hold valid Right to Work in the UK?

Yes

No

Do you have any convictions or conditional cautions which are currently unspent under the Rehabilitation of Offenders Act 1974 (including traffic offences)?

Yes

No

Are you or have you been the subject of any Voluntary Arrangements (IVAs), County Court Judgments (CCJs), Bankruptcy, or any other formal credit related proceedings which have or have not been satisfied?

Yes

No

Have you been referred for this position by Diligenta Employee?

Yes

No

Have you previously worked for Tata Consultancy Services (TCS)?

Yes

No

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