About This Role

• Assist the Compliance Manager by producing regular and ad-hoc regulatory reports as required, and with developing and promoting a compliance culture
• Represent Compliance and provide regulatory support (advice and challenge) to strategic projects and initiatives
• Responsible for monitoring Diligenta’s exposure to regulatory risk for the relevant Client Account, agreeing remedial actions to address issues and close gaps as appropriate, in order to support assurance to our Clients Compliance divisions and to the Diligenta Head of Compliance
• Continued oversight of Diligenta regulatory policies, processes, training and internal controls to ensure the Diligenta utility model remains fit for purpose, suggesting across account change as appropriate
• Chair internal forums and committees
• 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
• Assist the Compliance Manager in the development of a compliance culture, providing training & education as necessary
• Provide support as required to bid activity
• To support the annual review and delivery of the Compliance Plan for Diligenta and its clients
• Provide input & support to regulator queries, information requests & visits to assist Diligenta to promote relationships of trust

• Full CFP or equivalent, and achieved or working towards Compliance Diploma or equivalent
• 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, 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
• 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 business partners
• Able to take responsibility for decision making on regulatory matters
• Strong questioning attitude to regulatory requirements
• Strong focus on action and results - understands shared ownership of compliance outcomes with business areas
• Able to review management information, to highlight trends and concerns and make appropriate challenge
• MS Office Proficient
• Knowledge of business processes, financial products, rules & requirements for relevant business unit(s)
• Sound generic knowledge of life and pension products
• Proven Compliance experience

The hiring manager to contact is: Leo Coombes Email: leo.coombes@diligenta.co.uk

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