Compliance Manager reviewing broker - dealer and registered investment adviser communications for regulatory compliance. Working collaboratively with diverse business partners in a hybrid work environment.
About the role
- Compliance Business Partner responsible for regulatory oversight and compliance within Bupa's insurance entities. Leading teams in regulatory reporting and change management, ensuring best practices are followed.
Responsibilities
- Lead horizon scanning and translate regulatory developments into simple, actionable plans for our teams.
- Own and improve the Regulatory Change process for BINS and BISL, tracking changes through to implementation and reporting impacts clearly.
- Act as a trusted adviser on SMCR and support timely submissions of BINS/BISL Management Responsibilities Map to the FCA/PRA.
- Partner with Finance on non-Solvency II regulatory reporting; prepare concise committee papers and regular “hot topics” updates for senior management.
- Support regulatory engagements and assessments (including the FCA), offering constructive challenge, managing actions and driving good customer outcomes.
Requirements
- At least 5 years’ experience in a risk & compliance role is essential.
- Proven experience in a regulatory advisory or second-line compliance role within insurance/financial services is desirable.
- Strong knowledge of FCA/PRA expectations and the Handbook.
- Ability to manage, prep and interpret data, and confident interpreting rules for busy teams.
- Practical understanding of conduct risk and Consumer Duty; able to “join the dots” across the end-to-end customer journey.
- Excellent written and verbal skills, along with being a clear communicator who builds relationships and influences stakeholders at pace is a must.
- Comfortable managing multiple priorities and improving processes/policies.
- A self-starter with the ability to plan and work on own initiative.
Benefits
- 25 days holiday, increasing through length of service, with option to buy or sell
- Bupa health insurance as a benefit in kind
- Annual performance-based bonus
- An enhanced pension plan and life insurance
- Onsite gyms or local discounts where no onsite gym available
- Various other benefits and online discounts
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