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Senior FCA Compliance Officer

5 months ago

Glasgow, United Kingdom Clear Business Full time

We are looking for a Senior FCA Compliance Officer to join us on a 12 month Fixed Term Contract. You will be responsible for ensuring the group complies with FCA regulatory requirements, and the implementation of our FCA compliance and risk management framework. You will be involved in the identification, analysis and explanation of regulatory topics and themes, and will be required to advise the business on key developments and how they will impact the group. This role also acts as the final escalation point for our customers’ complaints, liaising with the Financial Ombudsman Service (FOS) where required.

What we want you to do

  1. Maintain an in-depth knowledge of current and future regulatory trends and complete horizon scanning activity to identify, make recommendations and implement any necessary adjustments in the light of changes to the regulatory landscape.
  2. Maintain close, constructive working relationships with the Financial Ombudsman Service, external advisers and industry peers.
  3. Ensure complete and accurate internal compliance and CPD records and production of Management Information.
  4. Promote and embed a strong compliance culture across the business by role modelling expected behaviours and challenging behaviours that don’t align with expectations.
  5. Identify and remediate any areas of non-compliance with our products and services which are subject to FCA regulation.
  6. Ensure that customer facing material such as standard terms and conditions, scripts, marketing / promotional material, PR copy and any other business materials meet FCA’s and other statutory requirements.
  7. Develop and maintain internal policies/processes/procedures to ensure compliance with regulatory requirements, including the documentation of any changes as a result of regulatory updates.
  8. Provide industry specific input to allow the business to submit responses to regulatory documents such as consultations or requests for information.
  9. Provide timely and effective regulatory advice to enable the achievement of key business requirements.
  10. Update the business on its regulatory performance and any feedback from the regulators.
  11. Prepare and present reports, presentations and updates to senior management and regulatory bodies as required.
  12. Conduct detailed customer account reviews for auditing purposes and to ensure fair, fact-based resolutions for customers.
  13. Work closely with the QA and Complaints Manager and Learning and Development team to lead the provision of feedback and additional training where required as a result of compliance risks.
  14. Lead “lessons learnt” exercises with operational leaders so they are able to drive improvements within their teams.
  15. Assist with the resolution of escalated complaints to a high standard within set timescales, whilst ensuring a first-class customer service.
  16. Draft and submit suitable responses to the Financial Ombudsman where required, challenging the Financial Ombudsman’s decisions where appropriate.

What success in the role looks like

  1. All regulatory requirements are met in line with a changing regulatory landscape.
  2. Compliance and risk management framework is established and embedded.
  3. Achieve all objectives agreed with the Head of Risk and FCA Compliance.
  4. All second line/escalated complaints are successfully resolved within set timescales.

What you need to have already done to be right for this role

  1. A minimum 4 years’ experience working within an FCA Compliance role.
  2. In-depth knowledge of the UK regulatory framework within the financial services and, in particular, the insurance sector.
  3. Knowledge of the FCA Handbook, specifically CASS, DISP, and SYSC.
  4. Commercial awareness and the ability to balance business needs with regulatory requirements.
  5. Relatable and positive experience of working in a fast-paced transforming organisation, where everything isn’t perfect, but we’re working hard to get there.
  6. Experience in designing and delivering FCA Compliance and risk management frameworks.
  7. Experience in conducting compliance and risk gap analysis, and successfully addressing any identified issues.

Skills

  1. The ability to distil complex rules and guidance into simple communications for diverse audiences.
  2. Excellent written and verbal communication skills, with an ability to adapt communication styles to individual customers.
  3. The ability to manage multiple tasks and work with minimal supervision.
  4. The ability to work successfully as part of a team - to bring people and teams together, to provide support to, and learn from, other team members.
  5. The self-awareness to identify own development needs and the desire to continually improve both self.
  6. The drive, curiosity and determination to improve FCA compliance across the business via all its associated touchpoints.
  7. The personal gravitas required to establish credibility with colleagues and customers, always acting as an exemplar for our company values.

Qualifications and other requirements

  1. Industry Experience in an insurance or financial services environment which is subject to FCA regulation.
  2. Location: Within commuting distance of the office location.
  3. I.T. literate: knowledge of the effective use of Microsoft (Word, Excel PowerPoint), essential.
  4. Education: Degree or equivalent.

Our Story

Clear Business was established with the goal of simplifying our customers' lives and making our colleagues' experiences more rewarding. As one of the top providers for small businesses in the UK, we offer a truly distinctive service by providing all essential services in one place: Phone, Broadband, Mobile, Water, Gas, Green Electricity, Payment Services, and Insurance.

For more than two decades, our growth journey has been marked by various accolades, such as Investors in People, The Northern Contact Centre Awards 2023, and Learning at Work Week Awards 2023. Our latest achievement was receiving the 'One to Watch' award from Best Companies.

Why Choose Clear Business?

At Clear Business, we don’t just do jobs, we do careers. We’ve got ambitious growth plans, and our people will grow with us. So, we’ll give you everything you need to develop and succeed. That means things like flexible working, a totally transparent rewards structure, a diverse and inclusive workplace, and the control to drive your own career and shape your own opportunities. Clear Business is a great place to work, made better by you.

In return for your hard work, you’ll get

It takes all kinds of people to make Clear Business the success that we are, and we’ve got a range of benefits to make sure everyone is happy.

  • Pension contributions and life assurance coverage.
  • Generous discounts at numerous high street and online retailers.
  • 25 days of annual leave, increasing to 28 days based on tenure.
  • Enjoy your birthday off every year.
  • Ability to purchase up to 10 additional holidays and sell up to 5 days per year.
  • Cycle to work and travel loans for people wanting a greener commute.
  • Comprehensive well-being support, including round-the-clock access to a GP, mental health assistance, fitness programs, and complimentary legal and financial advice.

The important extras

  • Hybrid working model: the choice to work remotely for three days.
  • Engage in charity fundraising and volunteering activities as part of our giving back initiative.
  • Enjoy fantastic on-site amenities including a complimentary gym, free parking, a subsidized café, and an on-site bar for post-work drinks, quiz nights, and social gatherings.
  • Full time/Permanent contract of 37.5 hours per week.
  • No weekends and every bank holiday off.

What happens next

If you’re looking for a new challenge with great benefits at an award-winning company, then Clear Business is the place for you. To be part of our continued success click ‘Apply’ today to take the next step in your career.

Across Clear Business, we’re passionate about creating an inclusive team and celebrating our diversity. We want talented people with great skills and matching values to join our teams.

All successful candidates will be subject to pre-employment checks.

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