Senior Regulatory Compliance Risk Analyst

Eximius Financial
£40,000 - £65,000
12 Oct 2016
22 Oct 2016
Contract Type
Responsibilities - Work within reporting requirements and guidelines of the FCA and other regulators to prepare the non-financial elements of the RMAR and other regulatory returns - Prepare and/or coordinate the completion of new license applications and regulatory approvals, including change in control applications, approved persons, Appointed Representatives and associated withdrawals as well as maintaining existing licences and approvals accurately and to agreed deadline - Support the Regulatory Manager in reviewing and implementing appropriate controls and documentation to support the regulatory reporting - Oversee the development and delivery of periodic Approved Persons training on relevant compliance topics - Monitor regulatory developments and inform the business about potential threats, risks, emerging issues and opportunities - Assist the Regulatory Manager in monitoring and responding to changes in the regulatory boundary in all regions that the company operates - Develop appropriate domestic and international professional standards in response to new rules, guidance, regulatory standards and policies - Assist the Regulatory Manager, Chief Compliance Officer, Chief Risk Officer and Chief Risk & Compliance Officer in developing and maintaining productive relationships with internal stakeholders and forging productive and credible working relationships with regulators Experience - Excellent working knowledge of FCA rules and their application to insurance brokers and a good understanding of the EU regulatory framework with a particular focus on regulatory transactions and reporting. - Experience working in an organisation where there is a mix of regulated and non-regulated work, and the ability to judge the boundaries, is also required. - Being able get up to speed on new subjects quickly, and deliver high quality written material within tight deadlines. - Familiarity with FCA regulations, ICOBS, CASS, SUP, CONC, MIPRU and the FCA Perimeter Guidance Manual (PERG)

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