Compliance Manager

Job type:
3-6 months
flag_no United Kingdom
project ID:

Project description:
This project is archived and not active any more.
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TORI Global are searching for a Compliance Manager to provide regulatory advice, oversight and the delivery of a compliance monitoring program.

Key aspects of the role include:

  • Lead in embedding the Compliance, Conduct and Regulatory Risk framework, tools and mechanisms to be deployed in supporting effective regulatory compliance.
  • Support the identification of potential or actual conduct and compliance risks and ensure appropriate escalation, remediation and mitigation to manage risks back within appetite
  • Give regulatory advice and challenge to business functions on compliance with UK regulatory requirements
  • Complete monitoring reviews in line with the monitoring schedule.
  • Evaluate the adequacy and effectiveness of internal regulatory risk controls and recommend improvements to the business, including identification of potential risks or gaps.
  • Assist in the design and operation of all aspects of the Compliance Monitoring plans in line with regulatory and company specific requirements.
  • Follow up on non-conformities through to resolution, including a robust escalation process for highlighting and managing non-adherence via the Senior Management Team
  • Assist in identifying, analysing and monitoring regulatory change that could impact the firm and its clients
  • Promote a culture of Conduct and Regulatory awareness throughout

Competency and skills:

  • Strong experience in a compliance, conduct or risk management role, with the ability to manage and influence business stakeholders.
  • Experience of the regulatory environment and frameworks, with a particular background in Life & Pensions business and/or pure protection.
  • A good knowledge and understanding of relevant regulations and conduct risk management principles
  • Good knowledge and understanding of the Risk operating environment, associated policies, procedures and protocols
  • Strong written communication skills required to produce detailed reports
  • Strong interpersonal, communication and influencing skills
  • Ability to build constructive relationships with client and risk colleagues
  • Attendance and contribution to relevant risk and compliance committee and forums
  • Ability to devise and present solutions to identified regulatory issues
  • Ability to identify and investigate areas of potential regulatory risk
  • Proven organisational and planning skills

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