Senior Legal Regulatory Affairs Officer - Coventry, United Kingdom - Calex UK Ltd.

Description

Calex is a specialist training and consultancy organisation contracted to several market-leading automotive manufacturers. We have seen tremendous growth in our business in recent years and with that comes the opportunity to increase our workforce, so we are seeking to recruit a Compliance Officer working within the Stellantis Brand

Reporting directly to the Head of Compliance, you will ensure that the business complies with the rules and requirements of the Financial Conduct Authority (FCA).

This is a unique and varied role in which you will be exposed to many areas of the business.

You will work with the Head of Compliance, to develop and maintain the compliance monitoring plan and the provision of regulatory support to the business and play an active part in the wider Legal and Compliance Team.

Alongside the Head, you will ensure the culture within the business is one where customers are considered in everything we do, and through engagement with the business, ensuring that all processes, new initiatives, and customer interactions are based upon good ethical values.

You will also work with the Central Compliance and Ethics team to deliver central compliance requirements.
Working within the Compliance team you will play a supporting role for our NSC business units. You'll partner with our business units, stakeholders and suppliers in providing specialist regulatory and compliance support.

We have a hybrid working model whereby colleagues can work a minimum of one to two days in our Pinley House office.

Flexibility is expected and you can work in the office more if you'd prefer.
This is a Conduct role under the Senior Managers and Certification Regime.

As a Conduct role within Stellantis UK you are expected to demonstrate and to meet the FCA's good repute requirements.

You must lead by example to influence the corporate culture and strive to ensure excellent standards of conduct across the organisation.

You must be able to meet good repute requirements on an annual basis.
You will be required to adhere to the

Individual 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


Role and Responsibilities:
Working directly with our NSC business units to assess risk and compliance challenges within 1 st line operations, and support 2 nd line assurance measure to manage any identified gaps and risks
Cultivate positive working relationships across teams and locations
Support business areas to be responsible for assessing and identifying potential risks (both regulatory and non-regulatory), developing risk mitigation action plans and appropriate documentation of risk management policies and risk profiling
Support the development and annual reviews of key compliance policies and procedures
Support in the delivery of training material to ensure ongoing competence of operational teams
Ongoing monitoring of training and competence plans, and support any remedial actions relevant to bridge any identified gaps
Raise risk and compliance awareness through delivery of workshops, training, and coaching with the operational teams
In conjunction with the HR function, supporting our obligations under the SMCR regime are met in a timely manner
Participation in operational meeting and compliance reviews to ensure that the content and frequency of the meetings are sufficient for monitoring of the activities, and any associated risks
Support in the management of suppliers & third-parties; due diligence processes; supporting reviews & approval processes, tracking and implementing process changes based on regulatory developments and reviews
Driving a culture of compliance across the group with a focus on the voice of a consumer
Manage regulatory risk by working with business areas to cultivate and maintain key relationships to enable the provision of proportionate and appropriate support on relevant regulations and business policies whilst supporting commercial strategy
Review and test the first line of defence systems and controls in line with the regulatory requirements
Support ongoing review and improvement of Compliance policies, processes and procedures to ensure these are compliant with regulatory obligations and best practice
Support the development and dissemination of relevant data across the business, collaborating with colleagues to co-ordinate requests and responses for MI and reporting
Support to the Head of Compliance for compliance with Data Protection requirements, including GDPR, and security of other data relevant to activities for which responsible


Person Requirements:

Working knowledge and practical experience in applying relevant FCA rules and guidance in a practical context in a regulated environment.

Delivery of this in an Automotive industry environment is desirable
Awareness and understanding of FCA sourcebooks – PRIN, CONC, DISP, SYSC, PROD and legislative frameworks such as the AML, Consumer Credit, Data Protection Act including GDPR is essential for the role
Awareness and understanding of Consumer Duty and delivery of good customer outcomes along with a sound understanding of the FCA's expectations in relation to the fair treatment of customers, and vulnerability, is essential

Experience of engagement with business stakeholders at all levels and you should have excellent accuracy and exceptional attention to detail within a time-sensitive environment.

Experience of identification, management, monitoring and reporting of risks either in project or business as usual environment
Able to provide written and verbal support to operational business areas on the implications of regulatory requirements, drafting policies, guidance, operating processes and procedures
Able to work collaboratively in projects and other multi-departmental activities, providing support to jointly achieve effective results
Ability to carry out multiple tasks simultaneously, prioritise effectively and use analytical skills to assist in drawing conclusions from data
Good communication and negotiation skills, including influencing, educating and reporting to Senior Management
The ability to prioritise effectively with enough flexibility to respond to changing needs and requirements is essential.
You will need to self-motivated with the ability to energise and develop others.
Have enthusiasm for compliance and the ability to communicate regulatory compliance requirements in a business-friendly manner
Full driving license is a requirement due to business travel
Ability to work both independently and collaboratively
Experience in a Customer Service environment (Desirable)
Experience in Motor/Motor Finance industry (Desirable)
Salary and Benefits
£36,000 – £42,000 dependent on experience, 26 Days Annual Leave, Calex Employee Benefits Packages (Inc Private GP and Healthcare Services, High Street Discounts, Discounted Gym Memberships and on Demand 24 Hour Wellbeing Service (Counselling and Advice).

This is a hybrid position, with the expectation of a minimum of 1 day a week in the office.

There will also be some regular business travel expected. Working Hours 8.30am- 4.45pm Monday to Friday.
General information
Calex will undertake the relevant/standard employment checks with any successful candidate.

This includes contacting all nominated references, as well as checking candidate ID, driving licence (if appropriate) and right to work in the UK.

Some roles may also be subject to further pre-employment checks (confirmation will be provided through the recruitment process). The nature of this role may necessitate that we undertake a DBS check.
The successful candidate will be employed by Calex UK ( Calex are a specialist learning and development provider and provide training staff and expertise including Trainers, Developers, Digital Learning Experts, and Administrators for the automotive industry.
The successful candidate will be required to provide proof of the right to work in the UK
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