Our client is an established financial services business that are recruiting a Conduct & Oversight Manager to provide oversight of the business’s relationships with their clients. You will undertake this through a series of activities that assess the risks around new and existing schemes, products and customer journeys.
Key Responsibilities:
•Deliver the delegated control and oversight strategy including monitoring of performance against targets, processes and controls and management of risk.
•Ensure ongoing focus on conduct whilst balancing the commercial aspects of the relationships with the clients.
•On-board new clients and complete detailed due diligence.
•Undertake ongoing reviews of the conduct MI, identifying and investigating any emerging issues and ensuring these are addressed or escalated to the correct forum.
•Identify new strategies and ways of working to ensure that the team remains current and compliant with changing regulation.
•Interpret FCA regulation and assess its relevance & Impact on the team and its processes and adapt accordingly.
The Ideal Candidate:
•Experienced oversight professional with proven leadership skills and entrepreneurial flair.
•Knowledge of financial industry practices and regulatory environment, preferably insurance experience.
•Educated to degree or equivalent level is essential and recognised Chartered Institute qualification is desirable.