Responsibilities

• Achieve individual objectives and key performance indicators as set and agreed
• Ensure compliance KPIs and objectives are met, ensuring a culture of ‘Treating Customers Fairly’ and putting the client first, with consistent delivery of the right customer outcomes
• Promote, develop and enable our values and culture within the team and across the business
• Oversee compliance ‘sign-offs’ as required, e.g. changes to the online and offline client journey, financial promotions, letters etc.
• Oversee regulatory breaches, complaints, data protection, financial crime and all other relevant regulatory and legislative requirements
• Preparation and completion of FCA regulatory returns accurately and on a timely basis e.g. Gabriel Return, Value Measures reporting etc.
• Deliver the Training & Competence Plan, ensuring supervision and monitoring is completed to a high standard and within required timescales
• Periodically conduct audits and reviews to ensure implementation of compliance standards and investigate root causes of any issues identified
• Preparation, completion and delivery of the Monthly Risk Assessments for each business
• Deliver the Risk & Compliance Monitoring Plan on a timely basis, ensuring high-quality reviews are completed in accordance with company standards
• Understand and develop own knowledge of regulatory & legislative obligations (including FCA and Data Protection) ensuring the business operates within the required standards
• Deliver added-value recommendations to assist the business in continuously improving the regulatory control environment
• Support our people by providing induction training on Risk & Compliance and Regulation
• Evaluate and review efficiencies in all compliance processes to ensure record keeping and monitoring is consistent throughout the business
• Work with and support other leaders and colleagues to share best practice and achieve common objectives

Skills & Behaviours

• Demonstrate, live & instil our values of Fun, Supportive, Professional, working in Partnership and Ambitious
• Talented and assured in people and performance management
• Dependable leader with the ability to encourage and work in a trusted environment
• Effective at promoting a team focus on technical excellence with service and quality standards at the forefront
• Inspire people through motivational coaching and training
• Create followership in a regulated, compliant and client focused environment
• Confident and capable in, communicating, networking, presenting, influencing, managing relationships and providing an excellent client experience
• Flexible, pragmatic, adaptable and approachable
• Organised and resourceful with exceptional ability to project manage and delegate
• Knowledgeable of FCA regulations, in particular Conduct Risk & Consumer Duity
• Working knowledge of the FCA Connect System
• Commercially sensitive whilst considering business and regulatory risks and have strong business knowledge with a thorough understanding of insurance products, distribution and processes.
• IT literate, analytical and an effective problem solver

Qualifications

• Recognised industry and/or professional Level 3 Qualification
• Commitment to work towards the ICO Advanced Certificate in Compliance