Job Description

• Act as Secretary to both Committees which are delegated sub-committees of the Executive Committee and convene monthly: including pack preparation, minute taking, updating the compliance monitoring recommendations log, regulatory breaches log and compliance monitoring plan/schedule.
• Act as Secretary to the Regulatory Compliance Committee Working Groups
• Responsible for preparing and distributing the monthly Compliance Key Risk Indicators (KRIs) Document and the Monthly Compliance Dashboard.
• Responsible for preparing and distributing information to Board and senior management including minutes and special attention items
• Responsible for maintaining the regulatory and legislative e-tracker, an application system where all relevant regulatory and legal changes affecting the business are recorded and monitored
• Maintenance of the PRA/FCA/BoE correspondence and ensuring that the Regulatory Correspondence log is up to date and that correspondence logged no later than 2 weeks from date of receipt.
• Preparation and submission of appropriate regulatory returns, FCA/PRA application forms and waivers
• Ad hoc projects on any subject within the remit of Legal and Compliance matters as instructed by the Head of Compliance or Director, Legal Affairs
• Support with compliance monitoring actions, reviews, reports and analysis
• Provide analytical and administrative support to the Compliance Department
• Act as back-up and support to Assistant Company Secretary as required
• Assist MLRO with daily, weekly and monthly Money Laundering and Sanctions related tasks
• Projects: Support, oversee and help deliver the implementation of the Governance Risk and Compliance (GRC) software with particular focus on the implementation of processes for tracking law changes (GRC Intelligence) and compliance monitoring (Compliance Management); act as "Law Change Supervisor" for GRC Intelligence

Required Knowledge, Skills, and Abilities

• Experience of operating within a regulated organisation and corporate governance structure at professional level
• Knowledge of FCA and PRA rules and ability to find information within the rules
• Experience of preparing board / executive level committee packs
• Experience / exposure to minute taking
• Exceptional attention to detail and focus on accuracy
• Experienced in producing documents to a consistent and accurate standard, using Microsoft Word and Excel
• Excellent written and oral communication skills
• Strong time management and personal organisational skills and experience of multi-tasking according to priorities
• Good interpersonal skills and the ability to liaise at all levels
• Good listening skills
• Ability to work effectively as part of a team and autonomously using own initiative.
• Service oriented, adaptable and resilient
• Professional and confidential with a high level of integrity

Preferred:

• Experience of managing the statutory filing processes and maintaining hard and soft statutory registers using Secretariat/GEMS or other electronic software and Companies House electronic filing
• Knowledge of other European languages whilst not essential would be an advantage

Education:

• Educated to at least Degree level
• Studying towards industry-recognised financial services / regulatory qualifications e.g. ICA Diploma, Dip PFS, professional exams or equivalent