Compliance Policy & Guidance Manager

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    Competitive Salary

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  • Published:

    about 1 year ago

Financial Services firm operating in the Life and Pensions sector are looking to hire a Compliance Policy & Guidance Manager to join their established Compliance function located on the west side of Birmingham only a short distance from Wolverhampton.  The primary focus of the role is to support the Compliance & Regulatory Guidance Team in providing an enhanced and proactive support to business areas on FCA Compliance matters with the aim of further deepening awareness of FCA requirements throughout the business and enhancing our Regulatory Risk control environment.

Key Responsibilities:

  • To support the Compliance Support & Regulatory Guidance Team
  • Act in a business partnering role by having regular meetings with business units to cascade FCA developments and provide guidance to business units on regulatory developments, expectations and requirements;
  • Identify risks or opportunities and engaging the business in formulating pragmatic, customer focussed  and commercial solutions that minimise the risks and maximise the opportunities;
  • Develop and maintain Compliance policies, guidelines and procedures which meet internal standards and applicable FCA requirements;
  • Provide advice on FCA related matters on business developments and projects to support the business in delivering its compliance responsibilities. 
  • Deliver formal training across the business on FCA  topics and developments and demonstrating the value of compliant outcomes;
  • Analysis and dissemination of FCA publications, tracking delivery of regulatory change through to completion and escalating issues where appropriate
  • Approval of financial promotions and other customer literature for compliance with FCA and other relevant regulatory requirements.

Key Requirements-       

  • Detailed knowledge of Regulatory requirements affecting Life and Pensions
  • Background in compliance ideally to include policy, advisory or guidance experience