Regulatory Advisory Assistant Manager/Manager/Senior Manager
We are looking for an experienced and qualified compliance professional to supplement the existing team, and to support and assist the business unit in fulfilling regulatory conduct risk obligations. The candidate should have demonstrable experience with conduct risk, and for Manager and Senior Manager the individual should have previous consultancy experience. Any sector within the financial services is required within conduct risk, although Insurance would be preferable.
Key skills and responsibilities;
- Knowledge of the Supervisory Framework including ARROW/FSF assessment framework
- Knowledge of the FCA’s approach to conduct risk and related issues across the industry
- Have or be studying towards an industry recognised qualification (e.g. CISA, FPC, IMC, CFA etc.)Regulatory / Operational Experience of COBs (inc MCOB, ICOBs, BCOBs)
- Excellent oral / written communication, planning, project management, networking and influencing skills
- Flexibility to work across the UK (and internationally) where required
- Understand the role of the regulator and advising clients on managing their relationship with the regulator e.g. ongoing supervision (inc. ARROW preparation), risk mitigation and dealing with enforcement.
- Knowledge/ Experience of Governance and Systems and Controls regulation that affect our retail clients and Principle / Outcomes Based Regulation.
- Relevant Sectoral experience - Insurance / Retail Banking/Asset Management
- Practical knowledge / experience of Treating Customers Fairly.
- Understanding of the wider elements of the FSA Handbook including Prudential and Dispute Resolution (DISP) Rules.
For more information or to apply for this role, please contact Bethany at Bethany.rivett@jcwresourcing.com or call on 02035899277
Please note that JCW Search is operating as an employment agency for the purposes of this vacancy.
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