Overview
Join to apply for the Compliance Business Partner role at SunLife UK. The role is essential in ensuring regulatory compliance requirements are satisfied and continue to lead to good customer outcomes. The role holder will engage with key stakeholders, acting as a business partner providing relevant and timely regulatory advice and guidance, aiding the business in proactively managing regulatory risks whilst balancing commercial outcomes.
This role presents an opportunity to be the bridge between the commercial success of the business and the maintenance of regulatory compliance, forging strong business relationships based on open and honest discussion and the delivery of mutual goals.
Who we are looking for
* A great communicator who is able to operate at all levels across the business
* Someone who can anticipate issues by looking around regulatory corners and assess matters to support line 1
* Solution focused (thinking in terms of how we can rather than how we cannot)
* Collaborative and able to support line 1 in relation to identified and mandatory training
* A trusted colleague, fostering a culture of open communication when things go wrong
* A decisive and confident approach to giving advice, guidance and assurance findings to stakeholders
* A natural deputy for the SMF 16 (senior management role)
* Experience of financial promotions across multiple products, channels and regulations
* Experience with broader risk management frameworks and the ability to articulate advice in context is a benefit
* A self-starter capable of managing multiple priorities, escalating where support is required and delivering to stretching targets
How you’ll be successful (measures)
1. Building a reputation for providing collaborative support and guidance on all matters of regulation, becoming a “trusted advisor” to key stakeholders.
2. Being capable of evidencing courage and decisiveness, escalating regulatory and conduct risks, concerns and breaches, in line with regulatory requirements and SunLife’s policies.
3. Evidence of clear and articulate solutions or recommendations.
4. Delivering high quality reports to management, committees and reviewers.
5. Evidence of the ability to manage multiple priorities whilst remaining level-headed and knowing when to ask for help.
Accountabilities (What you’ll do for us)
1. Operate as a Business Partner for the SLL L2 Compliance Function, providing timely and decisive support to the business in its strategic and BAU activities, anticipating issues before they arise.
2. Provide feedback and training to stakeholders at varying levels of experience and seniority, improving governance controls and feeding into process improvement plans.
3. Provide input into the firm’s incident management processes to ensure regulatory breaches are recognised and reported, with remedial action followed up to closure.
4. Undertake relevant SLL Regulatory Horizon Scanning activities, providing concise reporting and advice on complex queries, using knowledge of the rules to identify impacts for the business.
5. Provide quality reporting on the firm’s management of regulatory compliance and conduct risk matters.
6. Undertake second line Quality Assurance and oversight assessment on SLL Financial Promotion Materials, ensuring compliance in communications.
7. Oversee and facilitate the completion of mandated FCA regulatory reporting in SLL, including RMAR.
8. Contribute to development of Compliance policies and SM&CR regime standards, and support the business to adhere to regulatory policies.
9. Deputise for the Head of Compliance (SMF16) as required.
What we will do for you (benefits)
SunLife offers a hybrid working model. You’ll work from office as well as from home. The SunLife office environment is in Bristol, with initiatives to support Wellbeing, Diversity and Environment, and opportunities to engage with the community.
What you’ll be working with (stakeholders)
* Head of Compliance (SMF16) and Director of Operations & Governance
* SunLife Marketing Teams, Campaign Management, Digital Teams and Telephony
* Group Risk Functions, such as Compliance Assurance, SM&CR, Data Protection and Financial Crime
* SunLife Finance, Operations and IT & Change teams and Group Company Secretariat
* Colleagues across all areas of the business from new starters to the Senior Leadership Team
What we want you to bring to the table (skills and experience)
Must haves;
* Ability to engage and influence positive outcomes
* Strong communication skills (oral and written)
* Ability to identify when something isn’t in the customers best interests and recommend improvements
* Offering pragmatic solutions to challenges that arise
* Ability to analyse management information and identify trends in performance and improvement opportunities
* Strong understanding of regulatory compliance within a direct to consumer marketing and sales environment
Good to have;
* Experience of Compliance advice in a direct to consumer Financial Services environment
* Risk and control mindset
* Knowledge of GDPR, Risk management frameworks and Financial Crime controls
What it feels like to work here (environment)
SunLife is a data driven and results oriented business operating in a highly regulated environment. The role emphasizes robust controls and customer outcomes.
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