Risk & Compliance Officer

Broadgate Search Ltd
Roby, UK
Closing date
26 Sep 2020

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Contract Type
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  • Responsible for all aspects of the group's regulatory and legal obligations, ensuring continuous adherence and appropriate monitoring to substantiate compliance.
  • Participate in the development of compliance and risk programmes across the business.
  • Manage compliance and risk programme for outsourced activities, suppliers, and sub-brokers ensuring appropriate due diligence is in place.
  • Manage relationship with the FCA (Principle 11).
  • Collaborate with the internal audit function to ensure audits are carried out on key risks, and risks identified in audits are appropriately recorded and managed.
  • Collaborate with the complaints team to ensure material and process are FCA compliant, reporting is appropriate. Reviewing root cause analysis and corrective actions noting any risks and ensuring ongoing development to mitigate any risks and ensure compliance.
  • Support an environment that balances innovation and compliance.
  • Provide valuable insight and MI on compliance and risk matters to senior management.
  • Establish and manage policy and procedures to ensure TCF is embedded.
  • Ensure compliance information is cascaded to all staff and ensure compliance is covered appropriately in the training programme.
  • Lead and manage the establishment and maintenance of compliance &/or regulatory policies, procedures and processes to ensure they support the business in satisfying compliance requirements and reflects operations.
  • Perform risk assessments across all business functions.
  • Ensure appropriate policies and procedures are in place to ensure adherence to consumer credit and CASS requirements.
  • Keep up to date with industry knowledge to ensure appropriate competency levels are maintained including, keeping abreast of FCA and other applicable regulatory developments.
  • Be accountable for meeting deliverables, KPIs, and objectives, and implementing feedback.
  • Build and maintain strong working relationships internally.
  • Embed compliance culture and risk-awareness throughout the group.

  • Significant compliance experience within the insurance industry.
  • Detailed knowledge of FCA regulations.
  • Ability to support and influence colleagues on their compliance and risk responsibilities.
  • Experience of performing in and / or leading highly effective teams; identifying / implementing improvements to operating methodologies and inspiring excellent performance.
  • Compliance leadership experience; effectively deliver projects, determine appropriate reporting and procedures as needed.
  • Experience is risk assessments, identifying and quantifying risks, testing risk controls.
  • Tenacity to investigate areas of concern across all business functions.
  • Ability to interpret, understand, maintain and advise on a range of legal and regulatory issues.
  • Strong reporting skills.
  • Good at cultivating relationships with stakeholders and within the Granite group, building trust that facilitates an open mindset and free exchange of information.
  • Function independently, on own initiative taking ownership and ensuring implementation of compliance projects and policies.
  • Excellent presentation and communication (oral and written), and project management skills.
  • Ability to adapt communication style to tailor approach to suit varied stakeholder needs.
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