Compliance Specialist (Oversight & Guidance)

Due to recent successful client wins we are investing in our Compliance offering which will include expansion of the Monitoring and Oversight / Guidance functions. We have a number of vacancies for Compliance Specialists to be based in either Basingstoke, Edinburgh, Liverpool, Peterborough, Reading, Stirling.

In this role, you will play a key part in ensuring that Diligenta provide their customers with services that are compliant with FCA rules, requirement, and principles. You will be responsible for providing advice and guidance to business areas to ensure Diligenta continues to operate compliantly.

Anyone looking for an opportunity where they can engage with some of the largest Life and pensions service providers in the UK should apply today!

You'll be:

• Responsible for monitoring Diligenta client's exposure to regulatory risk


• Assisting the Compliance Manager by producing regular and ad-hoc regulatory reports as required, and with developing and promoting a compliance culture


• Continued oversight of Diligenta regulatory policies, processes, training, and internal controls to ensure the Diligenta utility model remains fit for purpose


• 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 outcomes are fully considered and appropriately addressed.
  
  Good knowledge of FCA rules and regulations and a thorough knowledge of regulatory development and consultative process


• Sound understanding of regulatory structure and process, regulations, and their underlying principles


• A credible influencer of management


• Ability to propose and implement compliance solutions with the required level of personal impact


• Ability to recognise compliance implications of business initiatives


• Able to build and maintain strong relationships with business partners


• Able to review management information, to highlight trends and concerns and make appropriate challenge
  
  Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as 'home' by existing employees, we drive a culture that is founded on positive change and development.
  
  25 days holidays + 8 bank holidays


• Discretionary annual bonus


• Company pension scheme membership


• Gain professional accreditation on completion at no extra cost through our bespoke 24/7 professionally accredited online learning and development tools


• Access to our Confidential Helpline is available to be used by you and your family


• Develop your career through a wider global organisation of the TCS family