Our client is a highly respected Financial Services business who are recruit a Senior Regulatory Risk Advisor to support the business on an initial 9-month fixed term contract. This can be largely home based with 1-2 trips a month ideally required to the firms off in Manchester.
The Senior Regulatory Risk Advisor will join the firms successful Regulatory Risk and Compliance team and support the Head of Regulatory Risk and Compliance and the wider team. You will provide advice and oversight to ensure we continue to deliver good customer outcomes and comply with relevant regulatory requirements of the Financial Conduct Authority (FCA), Advertising Standards Agency (ASA) and Competitions and Markets Authority (CMA).
What you’ll do:
• Provide advice, oversight, and challenge on Financial Conduct Authority (FCA), Advertising Standards Agency (ASA) and Competition and Markets Authority (CMA) regulated matters to support the firm
• Support the delivery of the compliance monitoring plan and a range of assurance activity
• Support the management of the regulatory horizon scanning process
• Help to design, implement, and embed the firms wind down plan and the enhanced Senior Managers and Certification Regime (SM&CR), in line with FCA requirements
• Manage periodic FCA regulatory returns and applications
• Support the management of the firm’s policies and standards in relation to regulatory risk, conduct risk and conflicts of Interest
• Support the identification and management of regulatory breaches, escalating to the Head of Regulatory Risk and Compliance as required
• Strong influencing skills and the ability to drive action at all levels, with a collaborative can-do attitude
• Experience in relevant regulatory risk or compliance roles within the financial services sector (particularly general insurance) and covering areas including SM&CR and Consumer Duty
• Experience of translating complex regulations into practical guidance for the business
• Experience of reviewing contractual obligations, making sure the regulatory risk position is accurately reflected for each party
• A strong understanding of corporate governance, and delivering compliance advice and oversight through multi-entity collaboration