What’s the Role?
Our client is seeking Conduct Compliance Executives to be the primary contact between Business Compliance (2nd LOD) and the wider business teams. The successful candidates will ensure that compliance risks are identified, mitigated, remediated, and reported.
Additionally, you will provide subject matter expert advice and guidance on all matters related to regulatory and compliance risk. This includes coordinating the completion of regulatory and other information requests across the business, as requested by the FCA/business
Your day-to-day activities will include:
- Provide specialist regulatory and compliance advice, promoting a compliance culture and influencing stakeholders, including SMF holders, to ensure the delivery of compliant products and services with positive customer outcomes.
- Manage regulatory risk by building relationships across business areas to offer appropriate advice on regulations, policies, and business processes while supporting the commercial strategy.
- Assist in the design and implementation of the Compliance Monitoring Plan, ensuring first-line defence controls align with the regulatory risk cycle.
- Conduct compliance monitoring reviews and collaborate with stakeholders to analyse findings, develop action plans, and drive improvement.
- Contribute to periodic reviews of policies and procedures, ensuring compliance with FCA or business requirements.
- Provide regular legal and regulatory updates, analysing the impact of regulatory changes and conducting gap analysis to support implementation.
- Manage FCA and internal audit reporting requests, ensuring comprehensive, timely responses and keeping the Local Management Board informed of any risks.
What Knowledge, Skills & Experience We Need
- Strong working knowledge of FCA principles, rules, handbook and non-handbook guidance, codes of practice and any other requirements and standards of the FCA’s regulatory system relevant to MBFS’ business
- Working knowledge of the FCA’s requirements as they apply to general insurance distribution, including but not limited to the ICOBS and PROD sourcebooks
- Capacity for collaborative multi-departmental working, providing advice to jointly achieve effective results.
- Ability to carry out multiple tasks and prioritise challenging workloads to plan and deliver work effectively.
- Ability to work within policies and procedures to deliver allocated departmental objectives
- Excellent communication skills and an ability to engage with a range of stakeholders
- Strong analytical skills which are applied to assist in drawing conclusion from complex data
- Engage with and understand the commercial objectives and to assist the business to understand the conduct and compliance context to influence decision making in the interests of the business and its customers
- Able to provide technical support and coaching to colleagues.
Next steps:
To express your interest in this opportunity, don’t delay; please click Apply now
About us
Momenta are a UK market leading financial services resourcing business. Momenta have excellent opportunities to develop and enhance your career within the financial services industry. If you have the skills and experience for this exciting role then apply today and don’t miss out on this exceptional opportunity to join the company that provides quality resource, consulting expertise and people development for financial services companies in the UK.