Our client is one of the UK’s leading specialist protection assurance advisers. It advises landed estates and their families, sourcing and managing complex life assurance placements as part of estate planning arrangements.
THE RESPONSIBILITIES:
Ensure the business is delivering on all regulatory requirements.
Produce reports and analysis for the board on all areas of compliance as required and attend relevant board meetings as required.
Protect the business by tracking applicable laws and regulations that affect financial reporting and anticipating emerging compliance trends, including cybersecurity.
Maintain compliance standards and design improvements to internal control structures.
Work alongside other senior managers to maintain corporate governance guidelines.
Manage staff onboarding, training and communication programs.
Maintain compliance organizational strategies by contributing information, analysis, and recommendations to strategic thinking and direction, establishing functional objectives in line with organisational objectives.
Establish compliance operational strategies by evaluating trends, establishing critical measurements, accumulating resources, resolving problems, and implementing change.
Keep job knowledge updated by participating in educational opportunities, reading professional publications, and participating in professional organizations.
Ensure the business is compliant in respect of new product development and existing product changes.
Lead the Product Review process, ensuring fair value assessments are completed.
Ensure all Product Governance activities are carried out with appropriate consideration given to the customer, and the Consumer Duty requirements.
EXPERIENCE REQUIRED:
The role requires someone who can operate at a senior level but who is also happy with day to day compliance tasks
A good understanding of regulatory compliance rules and their relevant guidelines from an operational perspective
Previous experience within a similar first line compliance role
Proven investigation and problem-solving skills
Track record of direct dealing with the FCA including around change of control
Proven track record in staff training and influencing the firm’s culture
Previous experience with data protection regulations
For further information please contact Duncan Jeffery
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