- Provide Expert Compliance Guidance: Offer insightful advice and guidance to the broader business on the interpretation and application of UK regulations such as PSRs, EMRs, MLRs, FCA Handbook, EBA Guidelines, etc. Foster a culture of "compliance by design" to facilitate understanding and action within the first-line teams.
- Refine and Implement Compliance Assurance Approach
- Own Compliance Assurance Plan: Take ownership of the annual compliance assurance plan, utilizing a risk-based approach to determine scope, priority, frequency, and nature of assurance activities in collaboration with internal stakeholders.
- Deliver Proactive Compliance Assurance: Conduct proactive assessments of controls, identify areas for improvement, and propose corrective actions to enhance compliance effectiveness.
- Communicate Assurance Results: Prepare high-quality, evidence-based reports highlighting common themes and trends from compliance assurance activities. Provide pragmatic and actionable insights to first-line teams and stakeholders.
- Manage Corrective Actions: Ensure agreed corrective actions are tracked and resolved effectively, maintaining compliance standards across the organization.
- Develop Regulatory Mapping: Develop targeted mapping of regulatory requirements, compliance evidence, and internal/external assurance to enhance compliance strategies.
- Line Management: Lead and develop the Compliance Assurance Analyst, providing coaching, development planning, and performance evaluation to drive high-quality outcomes.
- Enhance Policy Framework: Collaborate with policy owners to improve company policy.
- Provide Management Information: Deliver timely and informative management information to Executive Leadership Team, Audit and Risk Committees, and Boards to facilitate regulatory compliance responsibilities.
- Contribute to Second Line Risk and Compliance: Support wider Second Line Risk and Compliance Team activities as required, including regulatory reporting, fostering a strong risk and compliance culture, and contributing to team development efforts.
- Engagement and Influencing: Demonstrated ability to build strong relationships with stakeholders and influence outcomes effectively.
- Communication Skills: Excellent verbal and written communication skills, including the development of structured reports with actionable insights and recommendations.
- Team Leadership: Proven ability to coach and develop team members, driving high-quality outputs that add tangible business value.
- Adaptability: Ideally, an understanding of various compliance frameworks, approaches, and tools that can be tailored to the company
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Compliance Assurance and Advisory Manager - Edinburgh, United Kingdom - InterQuest Financial Markets
Description
Job Description
Are you passionate about navigating the intricate landscape of regulatory compliance? Do you thrive on providing strategic guidance to ensure adherence to industry standards and regulations? If so, we want you to join our clients team.
Responsibilities:
Skills and Experience:
InterQuest Group is acting as an employment agency for this vacancy. InterQuest Group is an equal opportunities employer and we welcome applications from all suitably qualified persons regardless of age, disability, gender, religion/belief, race, marriage, civil partnership, pregnancy, maternity, sex or sexual orientation. Please make us aware if you require any reasonable adjustments throughout the recruitment process.
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