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Purpose of the role
We're looking for a Compliance Manager in the Compliance Advisory team on a permanent basis. You will support the Senior Manager and the other members of the team with managing a wide range of advisory queries, project support and development of a strong risk and compliance culture across the business.
Managing Relationships
Key responsibilities will include:
* Build and maintain effective working relationships both internally in Risk & Compliance and across the wider business.
* Act as compliance representative at business-related meetings and working groups.
Providing Risk And Compliance Assurance
* Promote the development of a strong risk and compliance culture across the group.
* Provide accurate and timely regulatory advice on first line of defence (1LOD) queries, activities, and strategic projects utilising strong technical compliance knowledge
* Consult with the Senior Manager as needed to resolve more complex compliance issues.
* Provide compliance approval for process changes, platform developments and new business initiatives.
* Consult with the business to ensure that Nucleus and its employees comply with all relevant FCA and PRA regulations and expectations.
* Provide regulatory support, where required, to the FNZ material outsourced arrangement.
* Identify weaknesses or inefficiencies in how the first line operates and provide considered advice as to how the situation could be improved.
* Attend incident/risk event meetings as and when required, focussing on regulatory breaches, corrective action and any associated customer detriment.
* Help the business design and assess controls to help mitigate any identified risks.
Maintaining Operational And Company Standards
* Promote the best interests of the group at all times.
* Support the organisation’s goals and values.
Team Working
* Team player sharing ideas to enhance across-team learning and business development.
* Support the team’s efforts to succeed.
* Balance team and individual responsibilities.
* Exhibit objectivity and openness to others' views.
* Provide support and cover for other compliance team members.
Personal Effectiveness
* Flexible to change, eager to improve and develop new skills.
* Good communication skills, using appropriate language and style of communication that is relevant to the situation and circumstances to influence.
* Reliable, organised and with effective time management. Able to manage several, often conflicting, priorities at once.
* Active personal improvement to gain the necessary knowledge, skills and expertise to develop ongoing competence in a technical role.
* Optimistic and upbeat with a flexible, adaptable and ‘can do’ approach.
* A solution giver and problem solver, working to overcome blocks and enabling the business at every opportunity.
* Displays perseverance in all aspects of work, takes ownership for workload and is proactive in approach.
* A self-motivator who actively seeks out work.
A Little About Us
Our purpose at Nucleus is to help make retirement more rewarding, with a vision to build the best retirement-focused platform in the UK.
Inclusion and diversity at Nucleus
As with most things in life, who cares, wins. We really care about inclusion.
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