Regulatory Compliance Analyst

Recruiter
Golden Charter
Location
Glasgow
Posted
12 Oct 2018
Closes
19 Oct 2018
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
Golden Charter has a fantastic opportunity for a Regulatory Compliance Analyst to join our Compliance team at our head office in Bearsden, Glasgow. This is a full time, permanent position. The Regulatory Compliance Analyst will be a trusted advisor to the business, understanding, translating and driving regulatory compliance changes within the organisation. Responsibilities Policies - Support and Guidance Develop and maintain internal compliance policies ensuring appropriate actions are taken throughout the business to embed policy and changes Review policy adherence; working with individual departments to support improvements where non adherence is identified, agreeing actions with the senior manager to ensure policy is embedded Work with the Internal Comms team to develop and implement an engagement programme for the business to foster a compliance culture throughout the business Support the Data Protection Officer (DPO) Develop and monitor Data Protection Impact Assessment (DPIA) process and decision log to ensure that changes impacting Personally Identifiable Information (PII) throughout the business are correctly identified and documented Review responses of DPIAs, challenging project sponsors to ensure all risks have been correctly identified and suitably mitigated in line with the regulatory requirements Work with the DPO as a subject matter expert to ensure the organisation is compliant with data privacy legislation Subject Access Requests (SARs)/Right to Erasure Requests/Data Protection Breaches Respond to requests, liaising with the appropriate departments to ensure all PII is gathered/deleted as per the request and within the regulatory timescales Ensure process documents are maintained and aligned to regulatory requirements Provide monthly management information to the Operations Board, highlighting risks to the business and recommending actions to be taken to mitigate those risks Identify root cause of breaches, give feedback and work with management to reduce the likelihood of reoccurrence Third Party Governance Participate in the completion of due diligence and tender documents for all third party sellers and/or suppliers, liaising with the wider compliance team to gather information Highlight risks of individual contracts to the project sponsor/relationship owner and Operations Board where necessary; recommend changes that would reduce risk to Golden Charter Maintain records of third party contracts and facilitate changes to contracts via external legal advisors Compliance input to Projects Provide advice and challenge to project sponsors pre and post business case stage to ensure internal standards and external regulations are considered Input to project groups as subject matter expert in all areas of regulatory compliance Draft compliance documentation required to support any portfolio requirements such as terms and conditions for new or improved products Regulation Drive annual Funeral Planning Authority (FPA) re-registration process to completion, liaising with the FPA, key stakeholders and management team to ensure all information is correctly documented Ensure regulatory complaints are resolved by reviewing details, final decision and challenging outcomes prior to the Customer Resolutions Team responding to the FPA Investigate any ICO Complaints and support the DPO as required to resolve any issue, including determining the root cause of the complaint Key Skills Compliance qualification e.g. ICA certificate or diploma or equivalent qualification Awareness of the FCA and UK regulatory environment Proven background in a compliance or a risk based role Ability to work with a high level of accuracy and meet strict deadlines with little supervision Proven analytical and problem solving skills, with the ability to produce work within set timescales Competent user of Microsoft Word, Excel, PowerPoint and Outlook Excellent verbal, written and presentation skills with the ability to communicate regulatory information to stakeholders Company Benefits: Free parking Company and personal related annual bonus 6% employer pension contribution Maternity Leave – 24 weeks full pay, 15 weeks SMP Paternity Leave – 2 weeks full pay Discounted gym membership Life Assurance (4x annual salary) Competitive annual leave plus the option to purchase up to a further 5 days Long Service Awards Opportunities for career progression

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