Compliance Analyst - Governance

04 Feb 2017
04 Mar 2017
Contract Type
Full Time

This role is responsible for supporting the delivery of all aspects of Compliance Governance across the UK business and the Group Compliance programme within UK & Ireland. This role will be focussing on Regulatory Compliance relating to the FCA and PRA, reporting to the Director of FS Governance.

The Client- Leading Regulated Financial Services and Energy / Utilities Plc business


The role-

  • Assist in building, enhancing, maintaining and implementing the Regulatory Compliance Framework including Compliance Terms of Reference, Regulatory Compliance Footprint. Regulatory Compliance Policy, Annual Compliance Plan and the Compliance Handbook
  • Implement expectations including frameworks, standards, processes, systems , tools, training and communications across the business
  • Assist in building, enhancing and maintaining and implementing Approved Persons Framework
  • Develop robust Governance maps and Statement of Responsibilities for Approved Persons
  • Prepare content, co-ordinate and deliver AP training
  • Develop appropriate content around Senior Insurance Managers’ Regime
  • Prepare accurate and timely Compliance Governance reports
  • Conduct periodic reviews and communicate key risks / mitigations
  • Prepare for and facilitate Regulatory visits
  • Provide regulatory compliance guidance and support where needed
  • Deputise for the Director when required
  • Participate in the delivery of strategic / governance / conduct projects

Key Requirements-

  • Degree holder or relevant Compliance qualification
  • At least 5 years’ experience of working in a Retail Financial Services environment
  • FCA and PRA knowledge would be desirable
  • General Insurance industry knowledge would be a plus
  • Substantial regulatory experience around FCA, Systems & Controls, Governance, Risk and Compliance operations
  • Leadership / team management experience
  • Commercial awareness / business acumen
  • Ability to work in a changing environment