Head of Advisory

☞ Serco - Together for children

View: 103

Update day: 11-06-2024

Location: Cheadle North West

Category: Other

Industry: Banking Insurance Financial Services

Position: Director

Job type: Full-time

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Job Description

Salary: £80,000 - £90,000 per annum - plus annual performance bonus & benefits.
  • Responsibility for the provision of 2LOD independent Regulatory and Conduct Risk Advice to the 1LOD, to encourage safe growth and protection of the firm from regulatory and/or conduct risks associated with business activity (including proposed changes).
  • Responsibility for independent 2LOD regulatory breach assessment to determine whether an incident has breached applicable regulatory rules and/or presents conduct risk as set out by the FCA, and escalation of such breaches to the Chief Compliance Officer.
  • Responsible for oversight of 1LOD action plans to close regulatory and conduct breaches. Responsible for assessing whether breaches are reportable to the FCA and supporting the Chief Compliance Officer in conducting the notification.
  • Compliance Advisory responsibility for 2LOD assessment of regulatory and conduct inherent risks, which are documented in the Regulatory Risk Framework and aligned to the business activity undertaken by the firm.
  • Responsibility for providing Compliance Advisory input into the production of the Risk Indicator Heat map summary view, which details the regulatory and conduct risks present in each 1LOD business area, including escalation of regulatory and conduct risks to the Chief Compliance Officer.
  • Responsibility for Compliance Advisory activity to ensure the firm is kept up to date on the appropriate regulatory and conduct risks, regulatory changes (including FCA Handbook changes), technical issues and hot topics impacting UK financial services firms.
  • Assisting the Chief Compliance Officer in leading the 2LOD Regulatory Compliance Function including ensuring the appropriate level of skill, capability, training and competency of the Function.
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Deadline: 26-07-2024

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