Job Description
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:
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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