Regulatory Assistant
Perspective Financial Group Ltd / Group Governance
Job Description
As the Regulatory Assistant, you will play a critical role in supporting the Head of Regulation; the Internal Audit Manager and the Complaints Manager to drive regulatory outcomes. The principal focus of your role will be supporting the Complaints Manager, with the remainder of your time split between the Internal Audit Manager and the Head of Regulation.
You will support the:
- Complaints Manager across a number of tasks (see Key Responsibilities below) including obtaining data to enable complaints to be considered, reviewing the information and providing a comprehensive timeline as required, for the Complaints Manager so that the complaint can be assessed. You will also provide administrative support.
- Internal Audit Manager to extract necessary data to assist the audit reviews and support with any audit associated tasks as required.
- Head of Regulation in the creation of governance and risk frameworks on an as required basis – the areas of focus will be corporate governance, risk, and consumer duty requirements.
Office: Perspective Financial Group Limited
Location: Home Based
Hours: Monday – Friday 9am to 5pm with a one-hour break (35 hours)
Salary: Competitive, dependant on experience and qualifications (available upon request)
Please note: any offer of employment is subject to satisfactory criminal record background checks.
Job Requirements
- Previous experience of the rules and requirements of the Financial Conduct Authority (FCA).
- The ability to analyse information.
- Excellent communication skills.
- Excellent attention to detail.
- Proficient in time management and diary management.
- The ability to work as part of a Team.
- Regulatory professional qualifications preferable e.g. RO examinations or equivalent.
- Good level of relevant technical knowledge.
- Detailed and analytical.
- Ability to challenge if something does not look right.
- Ability to maintain impartiality when assessing information.
- Experience of MS applications including Excel.
- Knowledge of Visio would be useful but can be learned.
- Willingness to develop knowledge and skills.
- Previous experience in the Financial Services Industry.
- An understanding of the requirements of the FCA.
- Ability to remain calm and professional at all times.
- Analytical mindset with a focus on continuous improvement.
- Strong written and verbal communication and interpersonal skills.
- Ability to interact professionally with Stakeholders at all levels.
Job Responsibilities
Supporting the Complaints Manager
- Liaise with relevant teams to gather information pertinent to the complaint.
- Interrogate relevant systems to obtain information relating to the complaint.
- Create a timeline on complex cases.
- Support with the record keeping of complaints.
- Support with data extraction from PowerBI Dashboards to enable Board reporting and analysis of trends.
- Draft communications as instructed by the Complaints Manager.
- Be involved in the drafting of Policy documents and training material for the wider business.
- Support in the handling of errors and omissions.
- Extraction of data to support the audit underway from relevant systems/individuals including use of PowerBI to enable the Internal Audit Manager to progress with the audit.
- Find out answers to questions which arise during the audit.
- Proof read audit reports.
- Provide support around consumer duty matters including supporting the annual Board Report production.
- Provide support in the drafting of governance frameworks.
- Support the management and administration of the Third-Party Supplier Framework and associated due diligence.
- You may also be required to undertake ad hoc tasks as they arise.
Job Benefits
25 days holiday (rising with length of service) plus Bank Holidays, Holiday Purchase Scheme and Birthday leave. E-Discounts, Electric Car Scheme, Life Assurance, Pension and Corporate Eyecare.
