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Compliance Lead
London Office (Hybrid Model - 3 days)
Overview
An exciting opportunity to join a division as the dedicated Compliance Lead for the Employee Benefits business. In this role you'll be responsible for ensuring the division operates within regulatory requirements, maintains robust governance standards, and follows best practice across all client and business activities.
Key Responsibilities
- Lead compliance and governance activities across the Employee Benefits division.
- Conduct regular file reviews, monitoring, and internal audits to ensure regulatory compliance.
- Act as the subject matter expert for Terms of Business Agreements (TOBAs), fee agreements, contracts, and regulatory documentation.
- Review and update templates, procedures, and business processes from a compliance and governance perspective.
- Develop, implement, and maintain operational procedures and internal controls.
- Produce technical guidance, white papers, and compliance communications for both internal and external stakeholders.
- Deliver compliance training and induction programmes for new joiners and provide ongoing support to the wider business.
- Liaise closely with Legal, Compliance, and Risk teams to ensure regulatory requirements are understood and implemented.
- Remain up to date with relevant legislation, FCA requirements, and Employee Benefits regulatory developments.
- Support ad-hoc projects, audits, and governance initiatives as required.
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Candidate Profile
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- Experience in Compliance, Governance, Risk, or Regulatory roles.
- Strong understanding of compliance monitoring, file reviews, audits, and regulatory frameworks.
- Experience reviewing client documentation, agreements, and business processes.
- Excellent attention to detail and organisational skills.
- Strong communication skills with the ability to influence stakeholders at all levels.
- Experience working within a regulated financial services environment.
- CII qualification desirable.
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