Compliance and Regulatory Advisor - HR

Tom Dunn
08 Feb 2017
08 Mar 2017
Contract Type
Full Time

Our client is a dynamic, growing independent Financial Services organisation based in the Wolverhampton area. An excellent opportunity has arisen in the HR Department for an HR Regulatory Advisor to undertake a range of activities across the HR spectrum.

Ideally you will have a background in the Financial Services/Banking Sector as the successful candidate will be responsible for managing and ensuring the delivery of our client's HR regulatory and reporting responsibilities under the Regulation Authority and Financial Conduct Authority, including but not limited to the Senior Management Regime, the Certification Regime and the Remuneration Code. Financial Services compliance experience would be advantageous.

You will maintain an appropriate level of expertise in relation to the rules around the SMR, the CR and remuneration, keeping abreast of, and interpreting any changes to regulations, ensuring that appropriate processes are in place to ensure compliance.

You will act as Secretary of the Remuneration and Nominations Committee, assisting with the preparation of reports, arranging meetings, preparing and distributing committee packs. You will also be responsible for ensuring that the HR team meets its obligations under the regimes and the requirements of the regulatory system in terms of the management responsibilities map, regularly reviewing the associated documentation and initiating changes internally and via the regulator as and when required.

Duties will include ensuring appropriate and timely notifications are made to the regulatory reporting function or the regulators as required and managing the annual fitness and propriety process for individuals falling under the SMR and CR in line with regulatory rules and standards.

You will also provide advice, support to line managers in relation to employee relation issues and recruitment and selection in line with best practice guidelines and employment legislation and develop, implement and maintain HR policies and procedures to ensure compliance with employment legislation, data protection guidelines and regulatory requirements.

Key skills required include:

  • Previous experience of working within a similar role in a similar environment
  • CIPD qualified or have significant vocational experience in a similar role
  • Up to date knowledge of relevant PRA and FCA requirements and the ability to transfer regulation into practice
  • Up-to-date employment law knowledge and the ability to transfer employment law into practice
  • Excellent organisational and presentation skills
  • Sound decision making skills
  • Good IT skills in use of Microsoft Outlook/Word/Excel/relational databases
  • Ability to prioritise tasks and manage time effectively
  • Flexible approach to helping deliver team workloads and managing conflicting priorities
  • Confident with dealing with employees at all levels
  • Ability to work on own initiative
  • Excellent attention to detail and excellent verbal and written communication skills
  • Mental agility to analyse, organise and problem solve new challenges

The position attracts a competitive salary and benefits including 25 days holiday, healthcare, non-contributory cover for Life Assurance of up to 3 times basic salary and a performance related bonus up to 20% of base salary, based upon achieving company budgets and targets.

Due to the nature of this position, a credit check and Disclosure & Barring Service (DBS) check may be required. Additionally, the successful candidate's details will be checked with/against fraud prevention databases.

Please apply for the opportunity of early interview. We are only able to contact shortlisted candidates, thank you for your interest.