Senior Compliance Management Executive Job at 360 Resourcing Solutions (Bromsgrove)

Job Responsibility

To have oversight of the key regulatory reporting requirements and ensure accuracy and efficiency of submission
To review and report on key MI trends that have a direct impact upon the regulatory standing of the business
To act as a specialist referral point for all regulatory queries that may be put forward by all departments within the business
To partake unassisted in relevant strategic meetings from a risk perspective, offering advice, information and support as and when required to promote commercial development in a safe environment
To maintain positive relationships with all key contributors demonstrating a supportive rather than preventative stance
To ensure that all members of the Risk and wider A&R departments demonstrate high levels of communication and relationship management skills with the adviser force
To manage the RME and TRME functions as and when required
To develop and deliver an appropriate training programme for the Trainee Risk Management Executives, ensuring that competencies are achieved at projected milestones
To oversee the day-to-day running of the T&C Operations department
To participate and oversee where necessary in the compliance due diligence for potential acquisition firms, ensuring that deadlines set by the Acquisitions department are adhered to
To provide authorisation and challenge where necessary for all pending controlled functions
To oversee relevant variation of permission applications as and when they arise
To oversee the implementation of regulatory policy and procedural change where this has an impact upon the regulatory position of the Firm
To assess relevant regulatory and legislative change and develop adequate project plans with the assistance of the Project Management Office where required
To oversee the implementation of external regulatory audits as and when they fall due
To provide sign-off to A&R Assurance for recommended breach actions
To oversee the prompt renewal of all Firm regulatory licences and insurances

Requirements

Achievement of all responsibilities within deadlines set
Measurement of the ability to operate within a self-driven and independent framework
Evidence of risk mitigation through internal and external audit
Understanding of key regulatory and industry focuses
Understanding of FCA reporting systems
Demonstration of strategic input at senior management level
Operating within an independent framework
Understanding of regulatory rules and principles to a high level
Understanding of all processes and departments across the business

What we offer

Flexible working
Competitive holiday allowance
Annual buy & sell holiday scheme
Birthday off
Additional holiday days for long service
Annual Christmas and Summer parties
Contributory pension scheme with Royal London
Death-in-service benefit
Discretionary annual bonus
MediCash app with cashback on health initiatives
Discounted health club memberships
Free healthcare benefits
Tailored learning and development programmes

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Senior Compliance Management Executive

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