Compliance Assurance Specialist

  • Location


  • Discipline:

    Compliance, Risk Management

  • Job type:


  • Salary:

    £45,000 pa

  • Consultant:


  • Email:

    Michael Ayres

  • Job ref:


  • Published:

    over 1 year ago

The primary focus of the role is to provide assurance over the compliance of the business with FCA and Data Protection Act principles, ABI and JMLSG requirements.  Additionally, the role will require the candidate to provide 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 the Regulatory Risk control environment.

Role Responsibilities:

  • Undertake allocated Compliance Assurance reviews in line with the agreed plan to provide independent assurance to the Board over the compliance of the business with regulatory and legislative requirements
  • Ensure that regulatory risks are identified with a particular focus on the identification of potentially unfair customer outcomes
  • Contribute to the content of the Risk Universe and preparation of a risk based assurance plan, anticipating potential risks arising and providing objective input to the identification and prioritisation of assurance activity
  • Identify risks or opportunities and engage 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

Experience Required:

  • Detailed knowledge of Regulatory requirements affecting Life and Pensions
  • Knowledge and experience of systems and controls improvement, design and implementation
  • An understanding of auditing and/or compliance monitoring techniques.

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.