Compliance Advisor - Financial Services - Governance

Alium Partners Limited
45000.00 GBP Annual
15 Mar 2017
22 Mar 2017
Contract Type
Full Time

Location: Staines-Upon-Thames

Salary: Up to GBP45,000 plus benefits

Role Type: Permanent

Our Client:

Our client, a leading Energy & Services company are looking to recruit a Compliance Advisor - Governance to join their expanding team within Ethics and Compliance. Following a major organization design this is the perfect time to join this forward thinking business.

This role is responsible for supporting the delivery of all aspects of Compliance Governance activities across Ethics & Compliance, UK Financial Services; and the delivery of Centrica Group Ethics & Compliance Program within UK Financial Services. This includes but is not limited to Regulatory Compliance relating to the Financial Conduct Authority and the Prudential Regulatory Authority (PRA).

This role is a direct report to the Director, Financial Services.

What will I be doing?

  • Contribute to maintaining the Regulatory Compliance Framework consisting of the Compliance Terms of Reference; Regulatory Compliance Foot Print; Regulatory Compliance Policy; Annual Compliance Plan and Compliance Handbook.
  • Contribute to maintaining the Centrica Group Ethics & Compliance Program within UK&I.
  • Contribute to maintaining the Approved Persons Framework consisting of the Approved Persons Manual, Annual Fit & Proper Attestations, Handover Certificates and the Half-Yearly ARIS Control Attestations.
  • Contribute to maintaining up-to-date rules mapping for all Approved Persons.
  • Maintain relevant, reliable, timely and objective performance metrics within the Compliance MI Suite.
  • Ensure that the information on the FCA register accurately reflects our internal records and arrangements.
  • Maintain electronic Governance calendar and activities log and ensure that extensive regulatory and compliance notifications and reports are filed timely and correctly.
  • Own and maintain a Compliance forward schedule for all reporting to all Board and Board risk committees within the regulated entities
  • Act as Subject Matter Expert on relevant Governance Activities as indicated in personal objectives periodically

What experience do I need?

  • Financial Services Sector experience: minimum three years working experience of ONE or more of the following:

o General insurance and Protection sector:

o Retail Lending sector, including consumer credit/debt management, mortgage lending and mutuals;

o Retail Banking sector;

  • Financial Services regulatory supervision experience.
  • Technical knowledge of the requirements of the FCA and PRA and how these affect the general insurance industry including strong understanding of the FCA handbook, behavioral economics, conduct risk and the principles of treating customers fairly.
  • Regulatory compliance experience focused on Regulatory Reporting & Notifications, FCA Interactions, Systems & Controls, Governance, Risk and Compliance operations experience.
  • Ability to translate regulatory requirements into practical considerations and solutions.
  • Evidence of analysing complex information: reaching robust well informed judgements and identifying and presenting relevant issues in a timely and professional manner.

What will I get in return?

  • This is a chance to work with an Energy & Services company, that is focused on satisfying the changing needs of its customers.
  • Committed to identifying potential, providing development and career opportunities, and empowering you to make a difference in their business.
  • You will be supported with ongoing general and specialist training, accessible learning and development and a chance to gain professional qualifications

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