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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.
We celebrate and support diversity and are committed to ensuring equal opportunities for both employees and applicants.
Rullion celebrates and supports diversity and is committed to ensuring equal opportunities for both employees and applicants.
