Role details

Compliance and Technical Risk Manager

West Midlands   •  Permanent

Bullet points

  • Join an exciting Financial Services Organisation
  • Fantastic opportunity to progress your career

About Our Client

A leading Financial Services Organisation

Job Description

Job Specification

  • Develop and implement a comprehensive framework of controls, designed to detect, prevent, monitor and report on internal and regulatory risks in order to mitigate their impact and protect the Life business and customer interests.
  • Oversee internal and external audits and regulatory visits to ensure that actions and requirements are met within required timescales.
  • Manage, monitor and update the T&C scheme, setting best practice standards and incorporating into the Procedures Manuals to ensure the ongoing competence of all employees.
  • Design, implement, monitor and report on quality control measures, assessing trends and management controls to improve the standard of statutory records and reporting and overall customer experience. Submit annual declarations to HMRC and Stakeholder Pension within required timescales.
  • Manage the proactive identification and resolution of customer complaints arising from either the sales process or service received, ensuring breaches are minimised and adherence to internal service levels and regulatory timescales. Act as referral point for the resolution of complex customer complaints and technical issues.
  • Determine future requirements for technical processes, systems, structures and resources, identifying and anticipating internal and external developments and forthcoming changes in legislation and regulation, ensuring the impact has been accurately assessed and accounted for.
  • Contribute to the development and promotion of a continuous improvement infrastructure designed to deliver and embed timely and effective business change.
  • Establish, manage and communicate an effective business continuity plan to ensure the appropriate plans are in place to provide continuous customer service.
  • Build and maintain relationships with internal and external partners and relevant industry and professional bodies to ensure the effective delivery of objectives.

The Successful Applicant

  • Knowledge of CASS and conduct rules
  • Experience of managing a team within a risk-based environment within financial services
  • Experience of complaint handling within a regulated environment
  • Track record of successful delivery of KPIs
  • Experience of delivering successful process improvements
  • Experience of managing change preferred
  • Excellent technical understanding of life/financial services, pensions and investment products and the regulatory and legal framework surrounding them

What's on Offer

Extensive salary and benefits

Apply for this job

Click the Apply or LinkedIn button below or contact Edward Tinwell on +44 121 634 6920 quoting job reference 13698329
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