About This Role

• Provide Compliance advice and guidance to business areas to ensure Diligenta continues to operate compliantly and without enforcement by our regulator
• Provide second line regulatory oversight (support and challenge) to Diligenta’s Client Accounts and 3rd party outsourcers to ensure operational compliance on a day-to-day basis
• Assist the Compliance Manager by producing regular and ad-hoc regulatory reports as required, and with developing and promoting a compliance culture
• Responsible for providing regulatory support (advice and challenge) to strategic projects and initiatives
• Monitoring Diligenta’s exposure to regulatory risk for the relevant Client Account, agreeing remedial actions to address issues and close gaps as appropriate, in order to support assurance to our Client’s Risk & Compliance divisions and to the Diligenta Head of Compliance
• Continued oversight of Diligenta regulatory policies, processes, training and internal controls to ensure the Diligenta utility model remains fit for purpose, suggesting across account change as appropriate
• Chair internal forums and committees
• Responsible for training & monitoring of Compliance Specialists, and for providing regulatory guidance and oversight to less experienced colleagues as necessary
• Build and maintain good relationships with all stakeholders, internal and external, to promote trust and a collaborative approach across teams/firms
• Ensure Retail Conduct Risk and Consumer Duty outcomes are fully considered and appropriately addressed

• Thorough knowledge of FCA rules and regulations and understanding of the regulatory development and consultation process
• Minimum 5 years relevant Compliance experience
• Sound knowledge of life and pension products and the applicable regulatory rules, including tPR regulations and relevant HMRC legislation
• A credible influencer of management, able to propose and implement regulatory solutions with the required level of personal impact
• Experience of representing your function at project meetings, forums, committees and in other general meetings
• Experience in delivering effective second line reporting
• Excellent oral and written communication skills, including strong MS Office skills
• Ability to recognise regulatory implications of business initiatives, alongside commercial awareness and can add value to a proposed solution
• A track record of building and maintaining strong relationships with business partners
• Experience in assuming responsibility for decision making on regulatory matters
• Experience in interpreting regulatory publications, and translating information into requirements
• Strong focus on action and results - understands shared ownership of regulatory outcomes with business areas
• Ability to review management information, identify trends and concerns and raise appropriate challenge

The hiring manager to contact is Gillian Thornton

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