Senior Compliance Specialist
Who are Diligenta? Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as 'home' by existing employees, we drive a culture that is founded on positive change and development. Summary of the role Due to business growth we have a newly created role in the business for a Senior Compliance expert to join our team and support 2nd line oversight. Playing a key technical and advisory role, you will ensure Diligenta and the services we provide our customers are compliant with FCA rules, requirements and principles Benefits 33 days including Bank HolidaysEligibility for an annual discretionary bonus schemePersonal and career development opportunities to progress your aspirations within the company as well as through our global parent company (Tata Consultancy Services)Access to Perks at Work (an online discounted shopping platform) saving you money on a wide range of goods and services, including your weekly food shop, holidays and electrical goodsCycle to Work Scheme & Interest free Season Ticket loansA companywide Wellbeing programme, including an Employee Assistance Programme and other benefits/resources to support your mental/physical and financial wellbeingA comprehensive set of Moments that Matter policies, such as Carer's Leave, Foster Leave and Retirement LeaveA contributory company pension scheme where we match your contributions up to 6%, Group Life Assurance ('Death in Service") & Group Income ProtectionApply to find out about our other benefits What you'll be doing Providing compliance advice and guidance to business areas to ensure Diligenta continues to operate compliantly and without enforcement by our regulatorOverseeing Line 2 Regulatory Oversight (support and challenge) to Diligenta's Client Accounts and 3rd party outsourcers to ensure operational compliance on a day-to-day basisAssisting the Compliance Manager by producing regular and ad-hoc regulatory reports as requiredRepresenting Compliance and provide regulatory support (advice and challenge) to strategic projects and initiatives.Responsible for monitoring exposure to regulatory risk, agreeing remedial actions to address issues and close gaps as appropriateMaintaining continued oversight of Diligenta regulatory policies, processes, training and internal controlsChairing internal forums and committeesResponsible for training & monitoring of Junior Compliance Specialist, and for providing regulatory guidance and oversight to less experienced colleagues as necessaryEnsuring Retail Conduct Risk outcomes are fully considered and appropriately addressed What we're looking for Good knowledge of FCA rules and regulations and a thorough knowledge of regulatory development and consultative processStrong understanding and generic knowledge of the life and pension industry and associated productsSound understanding of regulatory structure and process, regulations and their underlying principles.Able to represent at project meetings, forums, committees and in other general meetings.Ability to recognise compliance implications of business initiatives, but has commercial awareness and can add value to a proposed solution. If you need any help or adjustments for any stage within the recruitment process due to health, disability, or any other reason, please let us know. Ready to take the next step in your career? Apply today and become part of our innovative team!
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