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About the Role
This role is responsible for providing risk and compliance support and advice to specific entities and/or teams within the Underwriting and/or Wholesale Division. You will offer subject matter expertise, advice, and guidance on regulatory requirements for both UK and overseas entities, monitoring adherence to regulations and company policies.
Responsibilities
- Monitor and challenge entities in embedding key controls to comply with policies and minimum standards.
- Oversee remediation actions for identified control gaps and breaches.
- Assess the effectiveness of the risk management framework by identifying, monitoring, and reporting key risks and controls.
- Report and escalate risk events and near misses, overseeing remediation actions.
- Assist with the implementation of regulatory change, providing guidance on regulations and standards.
- Develop and maintain an understanding of overseas regulatory requirements and assess impacts on compliance services.
- Liaise with external overseas compliance consultants.
- Build strong relationships with leaders and key stakeholders, acting as a trusted advisor.
- Provide advice and guidance on regulatory requirements to help businesses find solutions.
- Maintain effective working relationships with first line teammates for collaborative working, objective oversight, and challenge.
- Act as the first point of contact for the first line.
- Regularly review customer outcomes MI to identify risks, regulatory concerns, and control inadequacies.
- Escalate issues to leaders, providing assistance to address risks of poor customer outcomes.
- Provide assistance in the design and implementation of improvements where necessary.
- Proactively engage with leaders and first line teammates to drive improvement in key risk indicators.
- Confirm root cause and trend analysis is performed for risk indicators.
- Perform sample checking of adherence to regulatory requirements and key controls.
- Assist with actions to address non-compliance.
- Provide effective reporting on risk and compliance matters, ensuring key issues are raised.
- Attend and present at Boards, committees, and governance meetings on risk and compliance matters.
- Ensure teammates receive sufficient and relevant training on risk and regulatory topics.
- Develop and deliver training to teammates on the application of laws, regulations, controls, and compliance matters.
- Support the timely and accurate submission of regulatory returns and applications.
- Provide sanctions advisory support, including review, assessment, and escalation of sanctions-related risks.
- Support leaders with the implementation and embedding of actions from assurance and audit reviews.
- Assist with the completion of a control attestation process for entities.
- Verify that remediation action is undertaken for identified concerns and breaches.
- Lead compliance integration for assigned acquisitions, ensuring remediation of due diligence risks and timely completion of onboarding actions.
- Provide compliance workstream support on Division/BBE-wide projects.
- Contribute to and support entities in meeting their objectives and goals.
Requirements
- Subject matter expertise, advice, and guidance on regulatory requirements.
- Monitoring of entity operations against regulatory requirements and company policies.
- Building strong working relationships with teammates and leaders.
- Promoting and driving a positive risk and compliance culture.
- Achieving good customer outcomes.
- Embedding key controls.
- Overseeing remediation actions.
- Assessing the effectiveness of the risk management framework.
- Reporting and escalation of risk events and near misses.
- Assisting with the implementation of regulatory change.
- Developing and maintaining an understanding of relevant overseas regulatory requirements.
- Assessing impacts of legislative differences on compliance services.
- Liaising with external overseas compliance consultants.
- Acting as a 'trusted advisor'.
- Providing advice and guidance on regulatory requirements.
- Maintaining objective oversight and challenge.
- Reviewing customer outcomes MI.
- Escalating to leaders.
- Providing assistance to leaders.
- Designing and implementing improvements.
- Driving improvement in key risk indicators.
- Performing root cause and trend analysis.
- Performing sample checking of adherence to regulatory requirements and controls.
- Providing effective reporting on risk and compliance matters.
- Attending and presenting at Boards, committees, and governance meetings.
- Ensuring teammates receive sufficient and relevant training.
- Developing and delivering training.
- Supporting the timely and accurate submission of regulatory returns and applications.
- Providing sanctions advisory support.
- Supporting leaders with implementation of actions from reviews.
- Assisting with control attestation processes.
- Leading compliance integration for acquisitions.
- Completing onboarding actions in a timely manner.
- Providing compliance workstream support on projects.
- Contributing to and supporting entities in meeting objectives and goals.
Skills
- Risk management
- Compliance
- Regulatory requirements
- UK regulatory requirements
- Overseas regulatory requirements
- Policy adherence
- Control embedding
- Remediation
- Risk assessment
- Risk reporting
- Risk escalation
- Regulatory change implementation
- Stakeholder relationship management
- Trusted advisor
- Problem-solving
- Customer outcome analysis
- MI analysis
- Key risk indicator improvement
- Root cause analysis
- Trend analysis
- Sample checking
- Reporting
- Presentation
- Training development
- Training delivery
- Regulatory return submission
- Regulatory application submission
- Sanctions advisory
- Audit support
- Control attestation
- Acquisition integration
- Project support
Location
- London
Work Type
- Hybrid working available
Experience Level
- Manager
Salary/Compensations
- Negotiable
About the Company
- Built on meritocracy, our unique company culture rewards self-starters and those who are committed to doing what is best for our customers.
Equal Opportunity
- We are an Equal Opportunity Employer. We take pride in the diversity of our team and seek diversity in our applicants.