Senior Associate supporting compliance solutions for institutional clients in asset management. Delivering regulatory compliance and risk management expertise within a hybrid work environment.
About the role
- Compliance Monitoring Specialist joining Domestic & General's Risk & Compliance team. Responsible for contributing to Compliance Monitoring Plan and conducting monitoring reviews.
Responsibilities
- To plan, review and conclude Compliance Monitoring reviews in line with the agreed annual Compliance Monitoring Plan while adhering to the standards set out in the Compliance Monitoring Methodology and within agreed timescales.
- To step in and deputise and support the Head of Compliance Monitoring when required, including taking responsibility for the delivery of the Monitoring Plan
- Collaborate with the business to raise findings and allocate remediation actions that will address the root causes of issues identified and balance the regulatory risk and commercial objectives.
- Proactively seek answers, obtain information and share accordingly with the wider Monitoring and Compliance teams.
- Providing support to the business in overseeing and closing actions within the target dates agreed.
- Assistance with regular reporting to a high standard to appropriate Governance Committees.
- Maintain current knowledge of laws and regulations, across Financial Services, keeping abreast of projected and recent changes, emerging technologies, and industry trends.
Requirements
- Prior knowledge of Financial Conduct Authority (FCA) practices within the General Insurance sector in particular experience undertaking Compliance Monitoring reviews independently.
- Solid understanding of application of FCA Handbook and Consumer Duty, specifically ICOBS, DISP, SYSC, PROD, SUP, COND, GEN.
- Strong ethical and customer values.
- Analytical thinking, critical thinking and decision making.
- Risk Management.
- Good verbal and written communication of technical matters to varying audiences in particular experience in engaging with senior managers.
- Business and Commercial awareness.
- Proven ability to achieve and sustain a high level of accuracy and efficiency.
- Good collaboration, conflict resolution, influence, and negotiation skills.
- Professional independence
Benefits
- Competitive salary and annual discretionary bonus
- 25 days annual leave plus bank/public holidays, as well as an annual option to buy up to 5 additional days of annual leave
- Training opportunities as well as clearly defined career progression
- Health cash plan – employer funded cover to enable you to claim money back on essential healthcare costs, including dental, optical, physiotherapy and many more.
- Cover also includes unlimited access to a 24/7 virtual GP service
- Attractive company pension scheme
- Life assurance – employer funded cover of 4x basic salary
- Dedicated online benefit portal offering access to saving and lending facilities, financial wellbeing and support services: Salary Finance – access to savings and borrowing through payroll
- Car Leasing – access to a carbon neutral salary sacrifice car leasing scheme, with an all-inclusive monthly cost covering all charge, taxes, insurance, repairs and maintenance on a range of brand new vehicles
- Travel Loans – interest free loans to help spread the cost of annual travel tickets
- Cycle to Work – tax efficient bike and cycling equipment worth up to £1,000
- Health & Wellbeing – discounted gym membership, online virtual workout sessions, online culinary classes
- OnHand – Giving you the opportunity to be an Eco & Social volunteer via a handy app. Volunteer individually or in groups to get involved in Youth Mentoring, Food Poverty, Homelessness & Elderly help.
- Employee Assistance Programme – specialist advice and support on issues such as finance, relationships, illness and family issues
- Free Domestic & General protection plan – one free plan each year with access to discounted rates of up to 50% on additional plans, including referrals for family and friends
- Employee discounts – with a range of discounts for 100s of online and high street retailers
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
No Education Requirement
Location requirements
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