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Senior Compliance Analyst

  • Location:

    England

  • Salary:

    £350 - £450 per day

  • Contact:

    Stefan Hutchinson

  • Contact email:

    stefan.hutchinson@weareoliverjames.com

  • Job ref:

    JOB-042021-140835_1619193783

  • Published:

    13 dagen geleden

  • Duration:

    6 Months

  • Expiry date:

    2021-05-23

  • Startdate:

    ASAP

In this role as Senior Compliance Consultant, you will act as Business Partner representing Compliance to provide an 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 our Regulatory Risk control environment.



Key responsibilities

  • Provide advice on FCA related matters on business developments and projects to support the business in delivering its compliance responsibilities;
  • Analysis and dissemination of FCA publications, delivering analysis and communication of the impact of forthcoming regulatory change;
  • Approval of financial promotions and other customer literature for compliance with FCA and other relevant regulatory requirements.
  • Act in a business partnering role by having regular meetings with business units to cascade FCA developments and provide guidance to business units on regulatory developments, expectations and requirements;
  • Undertake allocated Compliance Monitoring reviews in line with the agreed CSRG monitoring plan, looking for risks and opportunities to enhance the customer journey.
  • Identify risks or opportunities and engaging the business in formulating pragmatic, customer focused and commercial solutions that minimise the risks and maximise the opportunities;
  • Writing and delivering formal training across the business on FCA topics and developments and demonstrating the value of compliant outcomes;
  • Oversight of breach analysis and reporting ensuring that areas of risk are identified, communicated and managed on a timely and relevant basis with a particular focus on the identification of potentially unfair customer outcomes and trends;.
  • Develop and maintain Compliance policies, guidelines and procedures which meet internal standards and applicable FCA requirements;
  • Support the business partnering arrangement in place with Outsource Providers by supporting the Compliance Oversight Manager on general compliance matters, compliance developments and change.


Key skills/experience required

  • Financial Services professional qualification
  • Proven' experience in a life and pension Compliance environment (3 - 5 years experience)
  • Proven experience in analysing regulatory publications and communicating detail in a style that suits the target audience
  • Good analytical skills
  • Good inter-personal and negotiating skills
  • Good communicator at all levels and all communication styles, with proven influencing skills
  • Ability to analyse and interpret legislation and regulation and formulate pragmatic, customer facing solutions
  • Ability to see the big picture with a commercial focus, yet still keeping the customer at the heart of what we do
  • Ability to work with autonomy

If you would like to be considered for this opportunity then please don't hesitate to apply.

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