Job ID:
33563
Published date:
2025-08-21
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Job ID:
33763
Published date:
2025-08-17
Summary
Our client is seeking a Compliance Assurance Officer/Manager, posessing 2-3yrs experience in credit lending to support compliance monitoring.
The person will oversee consumer duty outcomes testing and support delivery of the compliance monitoring plan.
Overall purpose of the role:
The focus of this role is to lead on assurance monitoring, deliver quality assurance monitoring in support of the 2LOD compliance risk management framework and operational processes within 1LOD. The Compliance Assurance Manager will support thematic and assurance monitoring reviews with a particular focus on regulatory risk providing an appropriate balance of support, guidance, and challenge to achieve regulatory compliance and good customer outcomes.
Responsibilities and accountabilities:
- Support and deliver on the compliance assurance monitoring programme, delivering high quality risk based monitoring and reporting in support of evidencing regulatory compliance
- Contribute to the Compliance Assurance Plan and other Compliance initiatives and manage the framework for delivery of compliance risk thematic reviews and ongoing monitoring activities.
- Deliver assurance monitoring and works closely with other risk functions to support all monitoring activity.
- Deliver customer outcomes testing in accordance with the regulatory requirements of the consumer duty regulations and second line assurance framework.
- Identify and report on compliance risks and provide insightful advice and recommendations in support of risk mitigation
- Maintain policies and standards for testing and monitoring of compliance controls across all functions and business activities.
- Develop standards for scoping, performing and documenting compliance assurance activities.
- Act as an advocate for compliance with all legal, regulatory and company standards and promote a positive risk culture within the first line of defence where transparency, action and rigor are evident – particularly in relation to customer outcomes.
- To frequently liaise with first line business areas to ensure that you understand key processes and how controls support the achievement of compliance, identifying gaps and weaknesses that need to be addressed – particularly in relation to Arrears Management, Vulnerable Customer Management, Complaints Handling, ensuring good customer outcome is at the heart of everything you do
- Maintain up-to-date knowledge of the FCA Handbook and key regulatory requirements (e.g., Consumer Duty, CONC, DISP, SMCR, and the “CCA”) and apply these to advice, guidance, and assurance activities
You:
- Minimum of 2 years compliance monitoring experience in an consumer credit environment
- Focused on customer outcomes and sound understanding of the Consumer Duty and other relevant regulation.
- Strong audit or assurance testing background.
- Proven ability to write detailed policies and procedures, regulatory updates for publishing across the business, and breach reports.
- Strong interpersonal skills, able to establish effective working relationships at all levels.
Job ID:
33762
Published date:
2025-08-17
Summary
We are partnering with an established highly regarded player within the motor finance industry, tasked with finding them a Conduct Compliance Executive on a 12 month fixed-term contract. This maternity cover appointment will be on a hybrid basis, with 3 days a week in their Milton Keynes office.
Main purpose of the role:
This role acts as a primary point of contact between the firms Business Compliance (second line of defence) and wider business. The primary purpose of the role is to manage regulatory and conduct compliance risks by:
- Identifying forthcoming changes to the regulatory framework relevant to the business
- Ensuring compliance risks are identified, mitigated, remediated and reported on.
- Providing subject matter expert advice and guidance on all matters relating to regulatory and compliance risk.
- Co-ordinating the completion of regulatory and other returns and information requests across the business as requested by FCA
- Driving engagement on the subject of regulatory compliance and conduct culture at all levels up to and including the firms Senior Leadership Team including Senior Management Function holders
Accountabilities:
-
Assist in the design, establishment and implementation of the Compliance Monitoring plan
- Conduct allocated compliance monitoring reviews in line with the Compliance Monitoring Review framework
- Horizon scanning; contribute to a monthly legal and regulatory update to the wider business
- Manage all regular reporting requests from the FCA and any internal Audit requests
- Contribute to the maintenance of a compliant SM&CR framework
Key skills, knowledge & experience:
- Compliance assurance/monitoring (within the second line)
- Strong working knowledge of FCA principles, rules (particularly CONC), handbook and non-handbook guidance and codes of practice
- Strong analytical skills which are applied to assist in drawing conclusion from complex data
Job ID:
33729
Published date:
2025-08-12
Summary
Our client is seeking someone to work remotely on a 9-month fixed-term-contract basis who possesses proven File Review/Checking experience.
The role has arisen to cover a team member moving onto a project over this time scale.
You will be tasked with reviewing both pre and post-sale reviews on new business with pension switching, drawdown and investment business the bulk of the work.
IHT trust work and Business Relief investment/corporate protection/VCT/EIS knowledge is an advantage but not essential.
In terms of a start date, they are looking at either September or early October. They are willing to consider someone to work either 4 or 5 days per week, with some flexibility in working hours (core hours expected).
You must hold the level 4 diploma in financial planning or equivalent.
Job ID:
33463
Published date:
2025-07-16
Summary
We are delighted to be partnering exclusively with a global insurer who are expanding their Risk function. They require a Senior Risk Analyst based in their Birmingham office, two days a week.
Role Purpose:
- Assisting with development and embedding of a fit for purpose risk management framework to enable the business to manage its financial and operational risks, including conduct risk, and adhering to Consumer Duty requirements.
- Assisting the Risk Manager with ensuring that the business adheres to the organisations Group regulatory standards and risk management framework requirements.
- Being a point of contact for the first line Risk Champions to provide guidance and support on risk management activities.
- Assisting in the setting the standards for risk management and promoting a risk centric culture within the business.
- Demonstrating a high work ethic and possess core knowledge and skills to support strategic objectives.
Duties & Responsibilities:
- Assisting with actions and recommendations from all relevant audit reports, including Internal Audit to ensure timely delivery and closure.
- Assisting in the formation of the Risk Management Framework which includes, Risk Appetites, Emerging Risks, Risk Events.
- Providing support in the gathering of risk data and analysing trends for reporting to Board and Audit, Risk and Compliance Committee.
- Supporting the Risk Manager in administrative duties in keeping the risk registers up to date.
- Assisting with risk requests (including from the Group) in relation to adoption of policies, procedures, and other ad hoc risk queries as and when applicable.
- Liaising with internal and external stakeholders to provide support and guidance on risk management.
- Assisting with annual review of the taxonomy, policies, and procedures to ensure they are up to date from a regulatory perspective.
- Assisting in all other tasks, periodic, ad hoc, or otherwise.
Conduct Requirements:
- You must act with integrity.
- You must act with due care, skill and diligence.
- You must be open and cooperative with the FCA and other regulators.
- You must pay due regard to the interests of customers and treat them fairly.
- You must observe proper standards of market conduct.
- You must act to delivery good outcomes for retail customers.
Information Security Responsibilities:
- Ensure all work and activities performed in this role adhere to the organisation's information security policies, standards, and procedures.
- Proactively identify and mitigate information security risks associated with assigned duties and responsibilities.
- Participate in regular security awareness training and apply best practices for securing data, systems, and applications.
- Report any suspected security incidents, vulnerabilities, or policy violations to the information security team immediately.
- Support the Information Security program, understand and manage information security responsibilities delegated to your department, ensure team comply with all Information Security policy and procedure, report on team performance against security training requirements. (Managers only).
Required Skills & Experience:
- Previous experience in developing and embedding risk frameworks within the insurance sector.
- Understanding of the Managing General Agent model specifically in relation to risk management would be advantageous.
- Excellent knowledge of the Risk Management Cycle.
- Experience with risk analysis and reporting.
- Analytical mind with problem-solving aptitude.
- Excellent communication and presentations skills.
- A proactive approach to work, in terms of suggesting changes and improvements to processes and systems.
- Commercial awareness and the ability to understand broad business issues.
Benefits include:
- Pension - Employee 5%/Employer 10%
- 25 days holiday plus bank holidays (additional holiday after 3 years service)
- Leisure Allowance - £1000 (post probation)
- Medical Cover - Benefit in Kind (post probation)
- Group Income Protection/EAP (post probation)
- Group Life Insurance (post probation)
Job ID:
33430
Published date:
2025-06-19
Summary
An excellent opportunity has become available for an experienced Underwriter to join a global financial services provider. This is a hybrid role, 2 days a week in their Rickmansworth office.
As the business' underwriter, you will be responsible for a range of duties such as:
-
Handle dealer enquiries professionally via phone and email.
-
Support the conversion of declined finance applications into acceptable proposals within risk guidelines.
-
Manage deferred applications by following up promptly and thoroughly.
-
Assess referred finance proposals within delegated authority; escalate when needed.
-
Interpret financial statements to make informed credit decisions.
-
Investigate CIFAS alerts diligently and escalate potential fraud cases.
-
Proactively flag operational issues and suggest practical solutions.
-
Meet departmental KPIs and service standards.
-
Collaborate across departments to support operational goals.
-
Contribute flexibly to team tasks as required.
-
Maintain compliance with internal policies, industry standards, and relevant legislation (e.g., Consumer Credit Act, Money Laundering, Data Protection).
-
Actively safeguard the business against fraud and financial risk.
To be considered for this role, you must have:
-
Asset underwriting experience
-
A keen eye for detail
-
Strong communication skills
-
A pro-active attitude
-
The ability to work well in a team and independently
-
Be a forward-thinking problem solver
The successful candidate will be rewarded with a competitive salary, excellent career progression and potential bonus.
Job ID:
33298
Published date:
2025-05-22
Summary
Role Profile
Page 1 of 3
Key responsibilities and accountabilities
• Compliance Advice: Provide collaborative advice, challenge and guidance to our business partners and
colleagues in relation to all matters of regulatory compliance, in particular consumer credit, consumer duty and the FCA Handbook
• Solutions-based compliance support: Championing an effective compliance culture, support on queries pertaining to and provide guidance on Consumer Credit Act 1974 (and subordinated legislations), Consumer Rights Act 2015, Customer Complaints, Vendor Contracts and pending vehicle disputes.
• Trusted Advisor: Act as Trusted Adviser to our business colleagues and key stakeholders by ensuring that commercially sensitive, pragmatic and practical compliance advice is provided in a cost-effective manner.
• Lead on regulatory change implementation, providing critical compliance advice on required changes and impacts of regulatory change; working with the business to identify impacts and devise appropriate policies and procedures to maintain compliance.
• Support the upkeep and maintenance of all compliance policies and provide 2LOD advisory support on the mapping of regulatory requirements to 1LOD Policies.
• Develop, update and deliver in-person compliance risk training on regulatory change and compliance risk (in consultation with the Chief Compliance Officer)
• Regulatory Horizon Planning – support the tracking, delivery and implementation of regulatory changes advising on key impacts to the business and required changes. Deliver training in support of key changes.
• Escalate issues and matters of compliance risk to senior management in a timely manner to reduce risk and losses as much as possible.
• To act as an advocate for compliance with all legal, regulatory and company standards and promote a positive risk culture within the first line of defence where transparency, action and rigor are evident – particularly in relation to customer outcomes.
• To frequently liaise with first line business areas to ensure understanding of key processes and how controls support the achievement of compliance, identifying gaps and weaknesses that need to be addressed – particularly in relation to Arrears Management, Vulnerable Customer Management, Complaints Handling, ensuring good customer outcome is at the heart of everything we do at Blue.
Role details
POSITION: Senior Compliance Advisor DEPARTMENT: Compliance
REPORTS TO: Chief Compliance Officer DIRECT REPORTS: 0
LOCATION: Head Office, Sundridge (hybrid) DATE: May 2025
Compliance at Blue
The Compliance Function is organised around five principal risks (Regulatory Risk, Operational Risk, Financial Crime, Data Protection, and Advisory) and is led by our Chief Compliance Officer (SMF16/17). The Department operates independently as a second line of defence and works collaboratively with first line areas across the business to provide oversight, challenge, advice, and assurance, in relation to the key business objectives, and in line with the Blue Motor Finance ‘beliefs’ (values).
Overall purpose of the role
Reporting to the Chief Compliance Officer, the focus of this role is to support on all matters of compliance advisory, provide solutions based advisory support to our business colleagues, support and advice on regulatory matters. Provide an appropriate balance of support, guidance, and challenge to achieve regulatory compliance and good customer outcomes in all matters of compliance advice.
Role Profile
Page 2 of 3
• To maintain an up-to-date knowledge of the FCA Handbook and key regulatory requirements (e.g., “CONC”, “DISP”, “SMCR”, and the “CCA”) and apply these to all solutions-based advice.
• To provide regulatory guidance around key business activities, including EXCO objectives and key projects.
• Proactively identify, investigate and analyse current and future regulatory risks, monitor the regulatory horizon to maintain an up-to-date view of regulatory developments that could impact Blue Motor Finance and support in the communication of Regulatory updates to the business.
• Support the Chief Compliance Officer in the communication of regulatory developments and regulatory risk reporting to Blue’s stakeholders (internal and external), including training delivery to first line business functions.
• Observe and champion Blue’s code of conduct and the FCA’s Conduct rules including demonstrating the expected behaviours to deliver good outcomes for customers.
• Provide oversight around the requirements set out in the firm’s policies and procedures.
Person specification
• 6 years plus compliance experience in an FCA regulated environment – consumer credit preferable.
• Sound understanding of Consumer Credit legislation and Consumer Duty principles.
• Demonstrated ability to effectively analyse risk and apply sound judgement in a timely manner.
• Proven ability to write detailed policies and procedures, regulatory updates for publishing across the business, and breach reports.
• Good team player, pragmatic and flexible, able to work on own initiative, whilst recognising where support is required.
• Strong interpersonal skills, able to establish effective working relationships at all levels.
• Appreciates the importance of accuracy, attention to detail and professionalism.
• Demonstrates a sense of urgency, strong delivery ethos and good work ethic.
• Ability to work with competing deadlines and priorities.
• Resilient, not derailed by a setback and returns to a high level of performance quickly.
• Excellent internal customer service skills.
• Comfortable and competent with MS Office.
• Comfortable identifying and raising issues, even with senior colleagues, particularly where providing constructive advice and driving good outcomes for customers.
• The role holder must carry out their role in a way that is aligned to the Purpose, Mission and Beliefs at Blue.
Additional requirements
• This document is neither contractual nor exhaustive and may be amended to meet the needs of the business. Where possible this will be done in consultation with the job holder.
• From time to time, and within reason, you may be required to carry out tasks that fall outside of your position’s remit.
• From time to time, and within reason, you may be required to work outside of your standard contracted hours.
• As part of your on-going development, you may be required to undertake training to meet the requirements of your role.
• Due to our remote location and lack of public transport it is suggested that you are a driver and are able to get to our offices in Sundridge, Sevenoaks albeit hybrid working is in place.
Role Profile
Page 3 of 3
Conduct Rules:
• You must act with integrity.
• You must act with due skill, care and diligence.
• You must be open and cooperative with the FCA and other regulators.
• You must pay due regard to the interests of customers and treat them fairly.
• You must observe proper standards of market conduct.
• You must act to deliver good outcomes for retail customers.
Job ID:
33231
Published date:
2025-05-22
Summary
Paraplanner Role:
If you’re a paraplanner looking to gain a huge amount of experience working for a fast paced chartered financial planning company then this is your opportunity.
Key Responsibilities:
• Process Leadership: Bring structure and attention to detail across all operational workflows, ensuring cases are managed efficiently from start to finish.
• Paraplanning Excellence: Prepare high-quality suitability reports for investments, pensions, and protection.
• Case Oversight: Ensure every case is tracked, chased, and progressed without delays, reducing the need for management intervention.
• Provider Chasing: Manage follow-ups with providers using automated systems (Outlook and CRM) to avoid bottlenecks.
• CRM & Workflow Management: Maintain accurate client records and case notes in Enable.
• Team Collaboration: Work closely with advisers and administrators to drive accountability and ensure standards are met.
What We’re Looking For:
• Ambitious: 1+ years as a paraplanner, with the drive to become an experienced member of the team.
• Detail-Oriented & Organized: You thrive when creating order, spotting errors, and ensuring nothing gets missed.
• Process-Minded: A natural problem solver who enjoys building and refining workflows for efficiency.
• Self-Starter: You don’t wait for instructions—you see what needs to be done and take the lead.
• Tech-Savvy: Comfortable with CRMs, task management systems, and Outlook automations.
Why Join Us?
• Make an Impact: You won’t just support advisers—you’ll drive the transformation of our operations.
• Flexible.
• Collaborative Culture: Work alongside a team committed to delivering excellence.
Job Types: Full-time.
Salary £40,000
Benefits
Pension
Income protection
4 x DIS
25 days holiday#
Flexible working
Schedule:
• Flexible working 1 day a week at home.
• Monday to Friday
Must be working towards or attained level 4 DipPFS
Job ID:
33129
Published date:
2025-05-02
Summary
Internal
Job Description
JOB DETAILS
Job Title: Lead Conduct Compliance Manager – Advisory and business change
Department: Business Compliance
Reports to: Chief Compliance Officer
Grade: 5
Date: December 2024
KEY PURPOSE OF THE JOB
The Business Compliance team is an independent regulatory and compliance advisory and assurance
function for Mercedes-Benz Financial Services (UK) Ltd (MBFS) and its Appointed Representative. The
role holder will also contribute to the provision of a regulatory compliance service to Mercedes-Benz
Insurance Services (UK) Ltd (MBIS).
This role acts as a primary point of contact between MBFS’ Business Compliance (second line of
defence) and MBFS’ wider business. The primary purpose of the role is lead a team of Conduct
Compliance Executives managing regulatory and conduct compliance risks by:
• Ensuring that compliance risks are identified, mitigated, remediated and reported on.
• Providing subject matter expert advice and guidance to the business on all matters relating to
regulatory and compliance risk.
• Driving engagement on the subject of regulatory compliance and conduct culture at all levels
up to and including MBFS’ Senior Leadership Team including Senior Management Function
holders.
ACCOUNTABILITIES (6-10 single sentence statements)
PERCENTAGES
You are required to maintain ethical standards in accordance with Mercedes-
Benz Mobility AG Policies and the Company's Compliance Guidelines and
Policies including Anti-Bribery and all relevant competition law. -
People Leadership:
• Lead and support a team of Compliance Executives responsible for day-to-
day advisory and ongoing business change and project delivery
• Develop the team against individual performance toolkits, their own
personal development plans, together with the MBFS business strategy.
• Ensuring outlined and clear objectives, development reviews and monthly
1-2-1 meetings and coaching sessions.
• Provide the team with access to the outcomes provided for in MBFS’
Management and Leadership Charters.
15
Regulatory advice:
• Lead a team providing specialist regulatory and compliance advice
• Promote a compliance culture throughout the business, influencing
stakeholders, including SMF holders and other senior managers, to deliver
compliant products and services which deliver good customer outcomes,
including but is not limited to:
30
Internal
• general ad-hoc advice
• reviewing and approving financial promotions and other internal and
external communications
• assessing and advising on internal regulatory breach reporting
• advising on remedial actions needed in response to 1st, 2nd and 3rd line
business assurance reporting
• supporting effective complaint root cause analysis and associated business
change
Ongoing process and policy review:
• Lead on the periodic review of MBFS policies and procedures to ensure
continuing compliance with and consistency with applicable FCA or MBM
AG requirements.
10
Horizon scanning and regulatory change:
• Lead the Conduct Compliance Team’s contribution to a monthly legal and
regulatory update to the wider MBFS business, identifying, describing and
providing relevant commentary on regulatory change relevant to MBFS.
• Lead on gap analysis and the identification and description of operational
impacts and other key risks by reviewing and interpreting consultation
papers, policy statements and other FCA publications.
• Lead on the advisory component of the MBFS business change process
prompted by those gap analyses and impact assessments.
30
Control and governance
• Improve and implement internal controls and reporting mechanisms that
support consistent service levels and quality output from the advisory
team.
10
Senior Managers & Certification Regime:
• Lead the advisory component which maintains a compliant SM&CR
framework. Advise Senior Management function holders on their
responsibilities for complying with their regulatory obligations. Assist in
managing regulatory applications and notifications ensuring regulatory
timescales are met.
• Assist in all processes aimed at ensuring the MBFS Management
Responsibilities Map is accurate and up to date.
5
TOTAL
100%
KEY SKILLS/KNOWLEDGE/EXPERIENCE
• Comprehensive working knowledge of FCA principles, rules, handbook and non-handbook
guidance, codes of practice and any other requirements and standards of the FCA’s
regulatory system relevant to MBFS’ consumer credit business.
• Working knowledge of the FCA’s requirements as they apply to general insurance distribution,
including but not limited to the ICOBS and PROD sourcebooks
• Works in a collaborative way in projects and other multi-departmental activities, providing
advice to jointly achieve effective results.
• Ability to carry out multiple tasks and prioritise challenging workloads to plan and deliver
work effectively.
• Able to work within policies and procedures to deliver allocated departmental objectives.
• Excellent communication skills and an ability to engage with a range of stakeholders including
members of MBFS’ Senior Leadership team.
Internal
• Strong analytical skills which are applied to assist in drawing conclusion from complex data.
• Engage with and understand MBFS’ commercial objectives and to assist the business to
understand the conduct and compliance context to influence decision making in the interests
of the business and its customers.
• Able to provide technical support and coaching to colleagues.
ORGANISATION CHART/DEPARTMENTAL STRUCTURE
ADDITIONAL INFORMATION
This role reports to the Chief Compliance Officer.
DIMENSIONS (Use only those applicable) This section covers measurable items such as staff reports and income generated. It should only be
used if appropriate i.e.: “5 direct reports, 3 indirect reports”. Direct Budget is defined as being
responsible for setting and managing a departmental budget; Indirect Budget includes, for example,
supporting a department’s budget/having discretion over trading allowances/helping to achieve
Warranty Budget.
Number of Direct Reports: 2 – (Two) Direct Budget: £ n/a
Indirect Staff Reports: 0 – (none) Indirect Budget: £ n/a
Job ID:
33130
Published date:
2025-05-02
Summary
Job Description
JOB DETAILS
Job Title: Conduct Compliance Executive
Department: Business Compliance
Reports to: Lead Conduct Compliance Manager
Grade: 6
Date: April 2024
KEY PURPOSE OF THE JOB
The Business Compliance team is an independent regulatory and compliance advisory and assurance
function for Mercedes-Benz Financial Services (UK) Ltd (MBFS) and its Appointed Representative. The
role holder will also contribute to the provision of a regulatory compliance service to Mercedes-Benz
Insurance Services (UK) Ltd (MBIS).
This role acts as a primary point of contact between MBFS’ Business Compliance (second line of
defence) and MBFS’ wider business. The primary purpose of the role is to manage regulatory and
conduct compliance risks by:
• Identifying forthcoming changes to the regulatory framework relevant to MBFS or MBIS
• Ensuring compliance risks are identified, mitigated, remediated and reported on.
• Providing subject matter expert advice and guidance on all matters relating to regulatory and
compliance risk.
• Co-ordinating the completion of regulatory and other returns and information requests across
the business as requested by the Financial Conduct Authority (FCA) and where necessary,
with Mercedes-Benz Mobility AG.
• Driving engagement on the subject of regulatory compliance and conduct culture at all levels
up to and including MBFS’ Senior Leadership Team including Senior Management Function
holders.
ACCOUNTABILITIES (6-10 single sentence statements)
PERCENTAGES
You are required to maintain ethical standards in accordance with Mercedes-
Benz Mobility AG Policies and the Company's Compliance Guidelines and
Policies including Anti-Bribery and all relevant competition law. -
Regulatory advice and support:
• Provide specialist regulatory and compliance advice and promote a
compliance culture throughout the business, influencing stakeholders,
including SMF holders and other senior managers, to deliver compliant
products and services which deliver good customer outcomes.
• Manage regulatory risk by working with business areas to cultivate and
maintain key relationships to enable the provision of proportionate and
appropriate advice on relevant regulations and business policies and
processes whilst supporting commercial strategy. This includes but is not
limited to general query advice, reviewing and approving financial
promotions, assessing regulatory breaches and incidents and supporting
key business projects.
30
Monitoring and review:
• Assist in the design, establishment and implementation of the Compliance
Monitoring plan, to oversee the first line of defense controls in line with the
regulatory risk cycle. Assist in updating and maintaining the MBFS conduct
risk assessment matrix, taking into consideration existing and emerging
regulatory risks and developments.
• Where required, conduct allocated compliance monitoring reviews in line
with the Compliance Monitoring Review framework including collaborating
with stakeholders to gather information for analysis, testing, producing
reports on the findings of monitoring activity and developing a plan to
mitigate identified risks. Lead on engagement with business management
to discuss findings, recommendations and where needed actions that drive
improvement.
30
Ongoing process and policy review:
• Assist in the periodic review of MBFS policies and procedures to ensure
continuing compliance with and consistency with applicable FCA or MBM
AG requirements.
10
Horizon scanning and regulatory change:
• Contribute to a monthly legal and regulatory update to the wider MBFS
business, identifying, describing and providing relevant commentary on
regulatory change relevant to MBFS.
• Assist on identifying operational and describing operational impacts and
other key risks by reviewing and interpreting consultation papers, policy
statements and other publications
• Assist in appropriate gap analysis and any other work necessary to timely
and effective implementation.
10
Regulatory and internal reporting:
• Manage all regular reporting requests from the FCA and any internal Audit
requests. Collaborate with colleagues across business to co-ordinate
requests and responses to compile comprehensive responses are
submitted in line with deadlines.
• Lead on FCA information requests; collaborating with and overseeing the
business to ensure comprehensive responses are provided within
deadlines and that the Local Management Board is kept informed about
any requests made and any implications/risks arising.
• Contribute to the production of the Business Compliance Conduct Risk
Dashboard and any other internal reporting as necessary.
10
Senior Managers & Certification Regime:
• Contribute to the maintenance of a compliant SM&CR framework. Advise
Senior Management function holders on their responsibilities for complying
with their regulatory obligations. Assist in managing regulatory applications
and notifications ensuring regulatory timescales are met.
• Assist in all processes aimed at ensuring the MBFS Management
Responsibilities Map is accurate and up to date.
10
TOTAL
100%
KEY SKILLS/KNOWLEDGE/EXPERIENCE
• Strong working knowledge of FCA principles, rules, handbook and non-handbook guidance,
codes of practice and any other requirements and standards of the FCA’s regulatory system
relevant to MBFS’ business.
• Working knowledge of the FCA’s requirements as they apply to general insurance distribution,
including but not limited to the ICOBS and PROD sourcebooks
• Capacity for collaborative multi-departmental working, providing advice to jointly achieve
effective results.
• Ability to carry out multiple tasks and prioritise challenging workloads to plan and deliver
work effectively.
• Ability to work within policies and procedures to deliver allocated departmental objectives.
• Excellent communication skills and an ability to engage with a range of stakeholders including
members of MBFS’ Senior Leadership team.
• Strong analytical skills which are applied to assist in drawing conclusion from complex data.
• Engage with and understand MBFS’ commercial objectives and to assist the business to
understand the conduct and compliance context to influence decision making in the interests
of the business and its customers.
• Able to provide technical support and coaching to colleagues.
ORGANISATION CHART/DEPARTMENTAL STRUCTURE
ADDITIONAL INFORMATION
This role reports to the Lead Conduct Compliance Manager.
DIMENSIONS (Use only those applicable) This section covers measurable items such as staff reports and income generated. It should only be
used if appropriate i.e.: “5 direct reports, 3 indirect reports”. Direct Budget is defined as being
responsible for setting and managing a departmental budget; Indirect Budget includes, for example,
supporting a department’s budget/having discretion over trading allowances/helping to achieve
Warranty Budget.
Number of Direct Reports: 0 – (none) Direct Budget: £ n/a
Indirect Staff Reports: 0 – (none) Indirect Budget: £ n/a
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