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Senior Regulatory Officer

2 months ago

London, UK, United Kingdom myGwork Full time

This inclusive employer is a member of myGwork – the largest global platform for the LGBTQ+ business community.

From day one, our mission has been to create an independent business with a unique culture - one that is controlled by the people who work for it. Finding the most talented and entrepreneurial people has always been key to our success.

People come to Howden for lots of different reasons, but they stay for the same one: our culture. That's what sets us apart, and why we nurture and retain the best talent in the market. Whatever your priorities - work/life balance, career progression, sustainability, volunteering - you'll find like-minded people driving change at Howden.

The Role

The Senior Regulatory Officer will work within the Compliance Function's Regulatory Team, which is responsible for overseeing and supporting the Operating Entity ensure that it has effective systems, controls, policies and procedures in place to meet applicable regulatory and conduct requirements.

Key Responsibilities

  • Supporting Broking teams in the regulatory field.
  • To work with other teams within the Compliance Function and business units to provide specialist support and expertise.
  • This will include activities associated with ensuring that existing or new systems and controls, governance and non-financial misconduct regulatory requirements are correctly interpreted and applied across the Operating Entity, which may be as a result of changes to regulatory requirements or the firm's business model or processes or conduct of business matters and new technology propositions.
  • Understanding and assisting in the implementation of overseas regulatory requirements, whether this be associated with overseas licence requirements or supporting existing and new overseas branches.
  • Participate in specific initiatives/projects to conduct research, review and consider more effective controls.
  • Ensures the timely completion of allocated tasks, activities and projects. Provides support in the development.
  • Supports 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.
  • Identifies relevant Regulatory and Conduct training needs for the business area (including induction for new employees).
  • Provides technical expertise to specific projects and initiatives in order to ensure goals and objectives are met.
  • Keeps informed of all regulatory and legal changes which impacts on the job role
  • Ensures up to date records are maintained at all times on the Company systems
  • Responds appropriately to urgent issues as they arise.

Skills and Attributes

  • Strong experience and knowledge of regulatory expectations.
  • Strong experience working with Broking teams within Insurance industry.
  • Experience of using and navigating the FCA handbook, as well as other expectations set out by the regulator in other publications.
  • 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

Qualifications

  • Educated to A level standard including good GCSE's in English and Maths
  • (Preferred) University degree or recognised industry accreditation, particularly if this includes elements of Insurance/Auditing/Finance knowledge
  • Professional qualification (desirable)

Our Culture: People First

We've travelled far since opening our first office in 1994. Back then we were local experts - based in London, with direct access to the world's biggest insurance market. We're still locals, and we still deliver the right advice and the right insurance to our clients. But now, we're local all over the world. With 15,000 global colleagues and a partner network spanning more than 100 territories, we are the largest independent insurance broker in the world. But our values haven't changed since day one, when we set out to create a company grounded in:

• An employee-ownership model
• Aligned external investors
• The trust and integrity born of friendship
• Expertise
• Independence

Our focus on being a people-first business has always been at the very heart of Howden. Our vision was to create an independent business with a unique culture; one that would survive and thrive as a business controlled by the people working for it. Our employee ownership model sets us apart in the market. It's created a culture of collaboration and innovation, where we're driven to think bigger and empowered to challenge convention.

Our flat structure and entrepreneurial spirit help us attract the best people and empower them to be the best version of themselves. And when we bring in and nurture great talent, more follows. That makes us better - and that's better for everyone.

Diversity & Inclusion


At Howden we consider our people our chief competitive advantage and as such we treat colleagues, candidates, clients, and business partners with equality, fairness and respect, regardless of their age, disability, race, religion or belief, gender, sexual orientation, marital status or family circumstances.

Permanent#LI-DNI