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Senior Regulation and Compliance Manager

Goodman Masson
Closing date
2 Nov 2021

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Contract Type
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  • To own and provide effective compliance policy and advisory servicesto the Group including supporting appropriate integration to the firms operational processes, systems and controls including IFoA Designated Professional Body regulations and consistency of application of relevant regulations to subsidiaries.
  • To provide regulatory technical supportto the Group (and, where relevant, subsidiaries) on monitoring and assurance arrangements as outlined in the relevant Compliance Monitoring Programme(s).
  • Monitor the regulatory perimeter of the Group as our business activities change and grow: direct and co-ordinate prudential regulations from a Group perspectivethrough effective Group Consolidation requirements and oversight of solo prudential subsidiaries.
  • To operationally act as the Depute Money Laundering Reporting Officerand thereby ensure appropriate AML/Financial Crime policies, procedures, systems and controls are appropriately drafted and applied in practice.
  • Manage and oversee all relevant regulatory reporting and communication requirementsincluding proactively supporting open relationships with the relevant regulators (FCA and IFoA).
  • To ensure effective and comprehensive regulatory risk MI reportingis delivered to senior management including reporting to the Audit and Assurance Group and relevant Board(s).
  • To develop, support and deliver appropriate regulatory trainingrequirements to the firm to ensure relevant Board members /staff maintain and enhance their appropriate risk and regulatory competence.
  • To ensure the Regulatory teamis appropriately structured, resourced, developed, remunerated and motivated to provide a proactive compliance advisory service. Take responsibility for your own personal development.
  • To maintain on-hand external compliance expertsto supplement the team as needed.
  • To horizon scanfor future regulatory developments (including assessing the annual FCA business plan) and recommend mitigating actions; lead on highlighting issues and trends where action may be needed and be responsible for ensuring the team and the wider business are aware.
  • Proactively identify areas for improvement, including operational effectiveness/efficiencies, and recommend solutions to benefit the team and the Group.
  • Influence the strategy, business planand budget for Regulatory team.
  • Ensure the Regulatory team are recognised internally as professional, partnering and solutions driven and so our colleagues proactively seek Regulatory support. Network within and outwith the Group to build trusting and productive relationships, promote the team, the firm, and gain insights.
  • Development and management of 2 direct reports through coaching and the firm's career development process
  • Ensure appropriate opportunities are provided to ensure development of direct reports, including work-related learning and support in studying for professional examinations
  • Keeping up to date with developments which may affect FCA/IFoA regulated (including Prudential Regulations, AML), risk and governance framework/activities of the firm Skills and Qualifications Required:

Experience/Skills & Knowledge:
  • Preferable relevant professional qualification, for example a Compliance Diploma
  • Significant experience of operating at senior management level
  • Significant experience of proactively managing the FCA/IFoA
  • Significant experience in FCA /AML regulatory environment and reporting
  • Strong working knowledge of related prudential regulations
  • Proven track record of managing change
  • Experience of working within a robust governance environment
  • Is able to present to large groups of senior individuals
  • Exceptional organisational skills
  • Strong and effective negotiation skills with an ability to facilitate win-win results
  • Able to interpret and communicate financial services sector regulations across full spectrum of products and services
  • Strong understanding of operational risk management and compliance
  • Awareness of applying knowledge to operational environments
  • Knowledge of internal audit processes and practices/compliance monitoring
  • Proven successful strategic and regulatory leadership and thinking
  • Demonstrates resilience to constructive challenge and openness and flexibility of approach to others' views.
  • Operates as an ambassador for the business.
  • Excellent communicator with good verbal, written and listening skills.
  • Positive and enthusiastic about change
  • Self-aware and Pragmatic approach
  • Excellent at building relationships and working collaboratively with a wide range of people.
  • Able to influence others and enlist their support.

Empowers others to implement operational key risk and regulatory activities
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