The role will be responsible for the development and implementation of a regulatory change management process to mitigate the company’s risk from new or changing regulatory requirements.
Key responsibilities include:
•Designing and implementing a regulatory change management process including regulatory horizon scanning and tracking , impact assessment on new or changing UK regulations that affects the business, with a focus on the FCA’s business plan and regulatory initiatives.
•Coordinating the review of regulatory changes to support the business on regulatory developments and regulatory change implementation.
•Leading on regulatory change implementation projects, where required, in line with the company’s wider change management framework.
•Providing compliance guidance to the business regarding any changes in legislation.
•Keeping updated on all regulatory changes applicable to the business from key regulatory stakeholders, such as FCA, ICO and HMRC.
•Coordinating with 1st line business and operational teams to prevent gaps in company policy and procedural framework to mitigate risk associated with applicable regulatory requirements.
•Reporting on regulatory change initiatives and regulatory horizon scanning to relevant company boards and committees.
•Assisting with the development or procurement of training required to the business in relation to regulatory changes, ensuring coordination with Head of T&C and HR functions, where appropriate.
•Assisting with the management of any third-party systems implemented to support the implementation of regulatory change
•At least 5 years of experience of working in compliance, specialising in regulatory change preferred.
•Strong understanding of the FCA Handbook, especially COBS, SYSC.
•Experience with best practice within the financial advisory or wealth management industry.
•Experience reviewing and implementing regulatory change within a financial advisory or wealth management firm.
To discuss the role in greater detail please contact Paul Clayton on 0161-883-2747 or send through your CV to firstname.lastname@example.org
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.