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Regulation Assurance Specialist

Lloyd Recruitment Services Ltd
Job LocationEpsom
EducationNot Mentioned
SalarySalary negotiable
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

Our client is seeking an experienced Regulatory Assurance Specialist to join their existing team, where you will help the business continue with their improvements and help to strengthen relationships across the business.On offer is a competitive salary, excellent benefits package and an opportunity to join a business that has the focus to continue to build and maintain their successes.The Individual:

  • A strong, friendly and approachable communicator
  • Must have a strong knowledge of Conduct Risk Management
  • Strong experience in Compliance Monitoring
  • Understanding FCA processes and guidelines
  • Able to challenge resistence to new processes, building strong business relationships
The Role:
  • Ensuring effective systems and processes are in place across the business to meet regulatory obligations.
  • Providing support and oversight in the delivery of good customer outcomes.
  • Providing regulatory reporting to allow the business to effectively manage its regulatory and conduct risk.
  • Administration of regulatory assurance across the business, ensuring compliance with existing regulations, and incorporation of new regulations into policies, procedures, and culture. This includes working as part of the wider business to champion a business-wideConduct Risk management agenda, to promote a healthy conduct culture, and to ensure that the delivery of good customer outcomes is at the heart of the business.
  • Monitor regulations to ensure changes are understood and raised with the business at an appropriate level.
  • Support the function in the introduction of new regulations: understanding, communicating, planning changes, implementing.
  • Proactively ensure ongoing compliance with regulations on a departmental and company level, this may include, Risk Assessment, monitoring and Gap analysis.
  • Manage compliance training content and input into delivery of training from the Learning and Development team.
  • Administer and manage Suspicious Activity Reporting to the National Crime Agency.
  • Completion of internal and external compliance returns, including RMAR and regional reporting.
  • Administer the business Compliance Monitoring Programme across assigned areas of the company, analysing trends and reporting results for discussion at the Conduct Risk Committee.
  • Working closely with Line 1 to produce MI, combining results from Compliance Monitoring activities.
  • Assist in further embedding a Conduct Risk based compliance culture within the business.
  • Conducting internal Thematic Reviews
Refer a friend and earn up to £500! If you know someone who is searching for a new opportunity, recommend Lloyd Recruitment Services and you will receive a retail voucher of your choice up the value of £500. Full details can be found on our website.Unfortunately, due to high numbers of applications, we are only able to respond to shortlisted applicants. If you have not heard from us within 5 days, please assume that you have not been shortlisted on this occasion.By applying for this vacancy, you accept Lloyd Recruitment Services Privacy and GDPR Policy which can be found on our website and therefore gives us consent to contact you.Lloyd Recruitment Services are acting as a recruitment agency in relation to this vacancy and are an equal opportunities employer.

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