Senior Compliance Specialist

2 weeks ago

Basingstoke, United Kingdom Diligenta Full time

**Salary**: From £49670-£62088

**Senior Compliance Specialist**:
**Salary**: £49000 - £62,500 + benefits

Location: Peterborough or Basingstoke
- Hybrid working

**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.

**The Opportunity**:
Due to business growth we have a newly created role in the business for a Senior Compliance expert to join our team and support 2nd line oversight. Playing a key technical and advisory role, you will ensure Diligenta and the services we provide our customers are compliant with FCA rules, requirements and principles

**You'll be**:

- Providing compliance advice and guidance to business areas to ensure Diligenta continues to operate compliantly and without enforcement by our regulator
- Overseeing Line 2 Regulatory Oversight (support and challenge) to Diligenta's Client Accounts and 3rd party outsourcers to ensure operational compliance on a day-to-day basis
- Assisting the Compliance Manager by producing regular and ad-hoc regulatory reports as required
- Representing Compliance and provide regulatory support (advice and challenge) to strategic projects and initiatives.
- Responsible for monitoring exposure to regulatory risk, agreeing remedial actions to address issues and close gaps as appropriate
- Maintaining continued oversight of Diligenta regulatory policies, processes, training and internal controls
- Chairing internal forums and committees
- Responsible for training & monitoring of Junior Compliance Specialist, and for providing regulatory guidance and oversight to less experienced colleagues as necessary
- Ensuring Retail Conduct Risk outcomes are fully considered and appropriately addressed
- Good knowledge of FCA rules and regulations and a thorough knowledge of regulatory development and consultative process
- Strong understanding and generic knowledge of the life and pension industry and associated products
- Sound understanding of regulatory structure and process, regulations and their underlying principles.
- Able to represent at project meetings, forums, committees and in other general meetings.
- Ability to recognise compliance implications of business initiatives, but has commercial awareness and can add value to a proposed solution.

**The Perks**:

- 25 days holidays + 8 bank holidays
- Discretionary annual bonus
- Company pension scheme membership
- Gain professional accreditation on completion at no extra cost through our bespoke 24/7 professionally accredited online learning and development tools
- Access to our Confidential Helpline is available to be used by you and your family
- Develop your career through a wider global organisation of the TCS family

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