Group Risk and Compliance Manager

2 months ago

South Ockendon, United Kingdom Lloyd & Whyte Full time
Responsibilities
  • Achieve individual objectives and key performance indicators as set and agreed
  • Ensure compliance KPIs and objectives are met, ensuring a culture of ‘Treating Customers Fairly’ and putting the client first, with consistent delivery of the right customer outcomes
  • Promote, develop and enable our values and culture within the team and across the business
  • Oversee compliance ‘sign-offs’ as required, changes to the online and offline client journey, financial promotions, letters etc.
  • Oversee regulatory breaches, complaints, data protection, financial crime and all other relevant regulatory and legislative requirements
  • Preparation and completion of FCA regulatory returns accurately and on a timely basis Gabriel Return, Value Measures reporting etc.
  • Deliver the Training & Competence Plan, ensuring supervision and monitoring is completed to a high standard and within required timescales
  • Periodically conduct audits and reviews to ensure implementation of compliance standards and investigate root causes of any issues identified
  • Preparation, completion and delivery of the Monthly Risk Assessments for each business
  • Deliver the Risk & Compliance Monitoring Plan on a timely basis, ensuring high-quality reviews are completed in accordance with company standards
  • Understand and develop own knowledge of regulatory & legislative obligations (including FCA and Data Protection) ensuring the business operates within the required standards
  • Deliver added-value recommendations to assist the business in continuously improving the regulatory control environment
  • Support our people by providing induction training on Risk & Compliance and Regulation
  • Evaluate and review efficiencies in all compliance processes to ensure record keeping and monitoring is consistent throughout the business
  • Work with and support other leaders and colleagues to share best practice and achieve common objectives

 

Skills & Behaviours
  • Demonstrate, live & instil our values of Fun, Supportive, Professional, working in Partnership and Ambitious
  • Talented and assured in people and performance management
  • Dependable leader with the ability to encourage and work in a trusted environment
  • Effective at promoting a team focus on technical excellence with service and quality standards at the forefront
  • Inspire people through motivational coaching and training
  • Create followership in a regulated, compliant and client focused environment
  • Confident and capable in, communicating, networking, presenting, influencing, managing relationships and providing an excellent client experience
  • Flexible, pragmatic, adaptable and approachable
  • Organised and resourceful with exceptional ability to project manage and delegate
  • Knowledgeable of FCA regulations, in particular Conduct Risk & Consumer Duity
  • Working knowledge of the FCA Connect System
  • Commercially sensitive whilst considering business and regulatory risks and have strong business knowledge with a thorough understanding of insurance products, distribution and processes.
  • IT literate, analytical and an effective problem solver

 

Qualifications
  • Recognised industry and/or professional Level 3 Qualification
  • Commitment to work towards the ICO Advanced Certificate in Compliance

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