We work hard to deliver a better banking service for everyone, so we can become Britain’s most loved bank! As a Regulatory Compliance Oversight Specialist, you will support the Risk Director for our Investments team in overseeing our Corporate Partners and Investments & Pensions Third Party Administrator. This will involve conducting first line of defence risk monitoring and MI reporting to ensure we meet all our regulatory requirements and obligations as set out by the FCA, as well as HMRC and the Pensions Regulator.
Working closely with our TPA and internal stakeholders, including Risk, you’ll be responsible for everything to do with the various rule books we work under, such as COLL and COBS. This means you’ll maintain the regulatory oversight workbooks and risk-based plans to ensure our oversight is focussed and relevant to the rules. You’ll execute regulatory oversight testing and report the results of these tests to our TPA, agreeing remedial action where required. It’ll also be your responsibility to monitor the performance of the Investments business and provide early warning signs of any adverse risk trends and emerging risks.
For this role we’re looking for someone who has a strong understanding of the Investment & Pensions industry and the FCA Regulations we work under. You’ll need to know the regulations we work under inside out! And have prior experience of applying these rules to a business such as ours. As we work in an ever evolving regulatory landscapes, we’ll look to you to keep an eye on what is coming and ensure we are prepared to adapt to these changes. You’ll also need to be a Qualified Accountant (CA, ACCA or equivalent).
Are you up for the challenge? Apply now.
Our aim is to nurture a skilled, diverse and committed workforce where every individual – regardless of background – can share our purpose, reach their potential and be rewarded appropriately for their contribution to our success.