Become part of a forward-thinking energy provider committed to sustainable solutions across the UK. In this role, you will act as a key specialist, ensuring adherence to FCA regulations and advising the business on compliance matters. Your responsibilities will include performing third-line audit activities to assess regulatory compliance, as well as offering guidance, support, and expertise to stakeholders at all levels.
Initially it will be a six-month contract but there is potential for it to be extended. The role is Hybrid, with one or two days a week being based in their Nottingham office. It is a full-time role, 40 hours per week. If this role feels right, send us your CV.
Accountabilities:
* Lead the development and delivery of the compliance strategy to meet FCA and regulatory requirements.
* Conduct regular horizon scanning to monitor regulatory changes.
* Prepare and implement the annual monitoring plan, working with business, risk, and oversight teams, and report deficiencies to Senior Management.
* Maintain strong, transparent relationships with the FCA and manage all regulatory requests.
* Develop and execute an audit plan covering key FCA risk areas and conduct independent Compliance and Operational audits.
* Regularly review and update EEISL-specific policies.
* Assess and provide independent assurance on the effectiveness of first- and second-line risk management.
* Manage the collation, Senior Manager sign-off, and submission of regulatory reports and breach notifications to the FCA.
* Report compliance status, findings, and recommendations to senior management, the Board, and the Audit Committee.
* Review and approve AR financial promotions (e.g., websites, digital content) in line with FCA CONC guidelines.
* Drive business readiness for new FCA permissions.
* Conduct regular and ad-hoc audits of ARs to ensure regulatory and internal compliance and assess related risks.
* Develop and maintain QA frameworks and provide feedback to ARs.
* Review and approve annual FCA compliance training.
* Work proactively with the Chief of Staff team to resolve problems and deliver solutions.
Knowledge and Skills:
* Extensive experience on FCA-related matters.
* Strong problem-solver with a focus on effective execution
* Builds trust and influence through impactful engagement
* Clear communicator, adept at connecting with senior stakeholders
* Highly collaborative, leveraging team strengths to drive results
* Accountable decision-maker, committed to delivering outcomes
* Growth-driven, constantly refining processes for continuous improvement
Please note:
Should your application be successful, and you are offered the role, a number of pre-employment checks need to be carried out before your appointment can be confirmed. Any assignment offer with our client will be subject to a satisfactory checking report from the Disclosure Barring Service.
This vacancy is being advertised by Rullion Ltd acting as an employment business.
Since 1978, Rullion has been securing exceptional candidates for a range of clients; from large well-known brands, to SMEs and start-ups. As a family-owned business, Rullion’s approach is credible and honest, focused on building long-lasting relationships with both clients and candidates.