Howden
Regulatory Interaction Officer
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Regulatory Interaction Officer
Regulatory Interaction Officer
About the Role
We are hiring a Regulatory Interaction Officer as part of the broader Central Compliance function. The Regulatory Interaction team coordinates and manages engagement with the FCA and other regulators, including:
- CMA
- Treasury
- Regulators in Jersey & Guernsey
- Regulators in territories where Howden UK Broking has a presence
The team supports the UK Insurance and Reinsurance Broking divisions by:
- Coordinating responses to regulatory requests
- Completing regulatory returns
- Ensuring SMCR (Senior Managers & Certification Regime) is embedded consistently across the UK Broking businesses
As part of a team of four compliance professionals, you will deliver consistent and timely regulatory engagement, acting as the central focal point for contact by regulators.
About the Function
The broader UK Broking Central Compliance function includes four key teams:
- Regulatory Interaction
- Regulatory Change
- Monitoring
- Sanctions
Working with the divisional Compliance teams in UK Broking, this function provides specialised services across:
- Specialty, UK Retail and UK Reinsurance divisions of Howden Broking
Key Responsibilities
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Senior Manager & Certification Regime (SMCR)
- Prepare SMCR applications and notifications
- Produce and maintain SMCR documentation, including:
- Statements of Responsibilities
- Management Responsibilities Maps
- Support annual fitness and propriety reviews for:
- Senior Managers
- Certified Function holders
- Undertake annual SMCR recertification
- Support the annual SMCR firm mapping process
- Ensure overseas regulators are updated on Senior Manager changes (where relevant)
Regulatory Engagement
- Prepare applications for regulatory submissions, including:
- Variations of Permissions
- Firm cancellations
- Appointed Representative applications
- Complete:
- Annual firm details
- Directory persons attestations
- Coordinate, collate, and assess information for:
- FCA and other regulator information requests
Regulatory Returns
- Oversee and track completion of FCA regulatory returns, reporting progress to senior management
- Review data for consistency and accuracy before submission:
- Identify and resolve issues with internal stakeholders
- Perform risk-based and thematic quality assurance for:
- FCA regulatory returns (including financial returns)
- Provide guides to support accurate regulatory return completion
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Regulatory Awareness
- Remain updated on:
- FCA regulatory developments
- Supervisory priorities
Required Skills & Experience
Experience
- 1-2 years in a financial services environment (FCA compliance team experience highly desirable but not essential)
- Experience in:
- Analysing data
- Managing multiple stakeholders
- Using FCA systems:
- Connect
- RegData
- Some experience with reviewing and understanding financial reporting
Regulatory Knowledge
- Exposure to FCA regulatory requirements, including:
- ICOBS
- SYSC
- DISP
- SMCR (Desirable but not strictly necessary)
Skills & Behaviours
- Strong written and verbal communication
- Attention to detail
- Proficiency in:
- Numerical analysis
- MS Word, Excel and PowerPoint
- Ability to:
- Work independently as a self-starter
- Manage competing priorities
- Demonstrate curiosity and perseverance
- Excel in stakeholder management
Qualifications
Highly Desirable
- Industry-recognised qualifications (e.g., CII)
- Education to a minimum of Degree standard
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