This long established and well recognised Financial Services company have been providing financial advice to corporate and private clients for more than 70 years! The business has continued to grow throughout this time, largely through referrals and repeat business, in a lot of cases they have been looking after generations of family wealth.
It is an exciting time for the business following a hugely successful year in 2020, despite all the challenges.
Given this continued expansion, they are now introducing a new role for a Compliance Manager specifically within the Employee Benefits division of the business.
This a varied and interesting opportunity for an experienced compliance professional.
Purpose
Working collaboratively with the Head of Corporate Services in a compliance function to continue to develop and evolve the compliance processes required within Employee Business areas - Workplace pensions, Group Risk benefits - DIS/PMI/PHI/Group travel etc.
Ensure all compliance requirements are conducted in accordance with external regulatory requirements and subsequent internal procedures, processes and expectations, whilst ensuring the collaborative relationships are maintained.
Responsibilities:
- Act as risk and compliance focal point
- Promote a collaborative and solution driven compliance culture
- Co-ordinating the review and update of EB’s risk and control assessment
- Training & competency (including training on key policies and processes) and monitoring the completion of mandatory regulatory training and CPD
- Ensure relevant controls exist across the business and support/monitor compliance with FCA requirements and Group risk & compliance policies
- Reviewing and ensuring key businesses processes and documentation put the client first and meet regulatory requirements
- Reviewing the impact of regulatory developments on EB, considering the impact on EB and business processes and supporting/co-ordinating the delivery of relevant and proportionate operational changes
- Undertaking regular compliance reviews and QA checks
- EB file checking
Experience:
- Undertaking a similar role within an FCA regulated Employee Benefits environment
- Strong knowledge of Employee Benefits (Group Risk, Group Pensions, Business Protection) • A strong understanding of the regulatory framework in which the business operates
- Strong relationship building skills
- Ability to apply flexible thinking and to formulate effective solutions and implement them to deadline
- Excellent communication skills to explain / interact / engage / influence with and between stakeholders
Compliance Manager (Financial Services), Gloucestershire