Primary Purpose of Job:
The primary focus of the role is to assist the Head of Compliance to ensure team objectives are met. This will be achieved through supporting the Compliance team to ensure the compliance plan and regulatory requirements are met through completing a range of tasks including those listed below.
- Assist in the delivery of the Compliance plan, including completing compliance monitoring activities on topics such as brokers and underwriting authorities
- Assist in maintaining the deadline calendar, ensuring all regulatory returns are tracked. Liaise with relevant individuals to ensure returns are completed on time.
- Assist with the completion and submission of regulatory returns as required
- Assistance with completing the broker approval process and issuing TOBAs
- Assistance with the delivery of regulatory advice to teams including licensing and tax queries
- Support for the conduct risk governance processes, including secretarial support for the Product Oversight Group and product review forums
- Assist in compiling MI on a variety of topics such as conduct risk
- Support for other areas of the Compliance team, as required
Education / Experience
Educated to college level/equivalent with an appropriate qualification or relevant market experience.
Key Skills
- Strong written and verbal communication skills.
- Team player whilst able to use initiative to complete tasks.
- Able to read and analyse complex documents such as regulations.
- Good organisational skills with the ability to prioritise tasks.
- Ability to provide a compliance perspective whilst considering business needs.
IT Knowledge
Microsoft packages including Word and Excel.
Conduct Standards
The following conduct standards prescribed under the Senior Managers & Certification Regime are applied to the role:
- You must act with integrity
- You must act with due skill, care and diligence
- You must be open and co-operative with the FCA, the PRA and other regulators
- You must pay due regard to the interests of customers and treat them fairly.
- You must observe proper standards of market conduct.
The above contains the main outline of your duties. However, it is inevitable that tasks may arise which do not fall within the remit of the above list. You must be able to attend the office a minimum of 4 days a week.