Manager, Regulatory Risk Excellence

Posted 18 August by MERJE Ltd

The Client- Financial Services firm in the Retail space, offering loans, credit cards and insurance products. Working closely with peers and colleagues to embed the culture of excellence in regulatory risk and control management within the business

This Client does not provide sponsorship.

The role-

  • Provide an on-going Advisory service / consultancy to the business in regards to support on regulatory requirements and risks relevant to the activities of the team
  • Support the business in managing its regulatory risks by carrying out 1st line reviews, assessment and assurance of regulatory conduct and compliance controls. This may include review of processes and procedures, case reviews, sample checking and analysis of MI where necessary to assess the quality and effectiveness of those controls ongoing
  • Work with the business to undertake specific 'deep dive’ risk reviews on key areas of conduct, customer and regulatory risk internally and across 3rd party suppliers
  • Develop and maintain effective processes and procedures to manage any regulatory breaches that may be identified and ensure these are escalated appropriately
  • Review and challenge business action plans to remediate identified areas of control weaknesses, or implement necessary regulatory change and monitor the timeliness of progress in delivering these

Key Requirements-

  • FCA Handbook knowledge particularly around CONC and ICOBS regulations
  • Experience of working within a conduct risk / compliance function
  • Ability to identify weaknesses in key controls and management to provide pragmatic solutions
  • Strong stakeholder management and influencing skills
  • Capability to make strong, constructive judgements
  • Experience within a retail FS business
  • Collaborative approach to work

Required skills

  • Compliance
  • Retail Banking
  • Commercial Banking
  • Regulation

Reference: 32776745

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