About This Role

• Deputise for the Compliance Manager - FCA Liaison & Corporate Oversight who has authority from the Compliance Director to interact with the FCA in the areas identified in this profile, including: 
  • Supporting the Proactive Engagement Programme. 
  • Leading on incident notification to FCA.  
  • Oversight of the maintenance of Diligenta’s Firm Details & Standing Data. 
  • FCA regulatory permissions.  
  • The Senior Managers & Certification Regime (SMCR), and conduct rule breach reporting. 
  • The corporate T&C Scheme 
  • Application of the Conduct Rules 
  • Meeting regulatory reporting requirements, as an FCA authorised firm. 
• Oversight & guidance to the business for the implementation of regulatory change, where it relates to the areas identified in this profile.  Ensures change is correctly interpreted and delivered through the change process. 
• Compliance specialist in support of SMCR, ensuring FCA authorisation of executives and senior management is carried out in line with regulatory requirements, and an appropriate audit trail is maintained.  
• Oversight and guidance to Senior Manager Function Holders (SMFs) and Certification Regime employees as to their regulatory responsibilities, and for the annual fit & proper process owned by Line 1. 
• Represent Compliance at internal and client Governance forums, Committees, and steering groups to ensure that regulatory considerations and requirements are understood to enable compliant delivery of objectives. 
• Chairs internal committees and forums, as necessary, deputising for the Compliance Manager. FCA Liaison & Corporate Oversight. 
• Production of reports to the corporate committees, including Board level committees. 
• Fields questions from all 3 lines of defence and SMFs.  This may require analysis of regulatory requirements, including regulatory permissions, and their application to Diligenta as an FCA authorised firm.  
• Conduct quality assurance within the team to verify the quality of service to Diligenta and its clients.   
• Training of the Regulatory Policy Specialists and for providing regulatory guidance to less experienced colleagues 
• Represent the team in support of corporate projects to ensure change is delivered within regulatory requirements. Lead on major change programmes e.g. Consumer Duty. 
• Quality checks the content of Compliance Bulletins, where they relate to the areas identified in this profile, to ensure they are relevant and accurate before issue to senior management.   
• Quality checks, reviews and maintains policies, guides and procedures owned by the team to ensure they remain up-to-date and relevant to senior management and employees. 

• Sound knowledge of business processes, financial products and requirements for relevant business units(s) 
• Minimum 3 years recent experience in Compliance (Essential) 
• CF1, FA1 (Life) and FA2 (Pensions) or ICA Diploma in Risk & Compliance (desirable, not essential)  
• Proactive, discreet, communicative, pragmatic and methodical approach 
• A credible influencer of management, able to propose and implement compliance solutions with the required level of personal impact. 
• Able to represent their function at project meetings, forums, committees and in other general meetings internally, with clients, and with FCA. 
• Ability to recognise compliance implications of business initiatives but has commercial awareness and can add value to a proposed solution. 
• Able to build and maintain strong relationships with the business, clients and with FCA.  
• Demonstrates a proactive and inquisitive approach to understanding and challenging regulatory requirements where appropriate. 
• Results-driven, with a strong focus on delivering outcomes and recognising the shared responsibility for compliance across business functions. 
• Proven ability to review, interpret and analyse management information to identify trends, risks and areas for improvement. 
• Strong report-writing skills, with the ability to produce clear, concise and insightful documentation. 
• Effective monitoring and oversight skills, ensuring adherence to regulatory and internal compliance standards. 
• Capable of working independently, managing priorities effectively, and delivering high-quality work with minimal supervision. 

The hiring manager to contact is: Ellice Day Email: Ellice.Day@diligenta.co.uk

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