Compliance & Risk Consultant (CASS)

I have an excellent opportunity for a Compliance & Risk Consultant (CASS) to work for a large Life & Pensions organisation based in Essex.

Compliance & Risk Consultant (CASS)
Start Date: ASAP
Contract Length: 3 months
Location: Essex
Rate: £Negotiable

Principal Accountabilities:
*Contribute to the conduct risk universe planning process and deliver a programme of conduct risk monitoring within the timeframes and scope agreed with the Monitoring Manager. Take specific responsibility for the planning and delivery of CASS reviews.
*Ensure that all work is adequately planned for and that all known risks are identified and documented prior to the commencement of any monitoring activity.
*Ensure that investigations and remediation activity are completed to a high standard and that root cause has been learnt from and documented to a standard that can be relied upon.
*Maintain effective relationships within the Division, with particular emphasis on the business, to enable the delivery of practical solutions to problems or the implementation of improved systems, processes or controls.
*Ensure that key regulatory issues are escalated to the Compliance Monitoring Director and ensure reports are made to relevant risk committees to enable senior management to take appropriate action.
*Support the Compliance Monitoring Director and the Compliance Manager in the development of proactive compliance strategies and recommend alterations or improvements to Group Regulatory Risk and Compliance function in order to anticipate and plan for change.

Skills & Experience:
*Minimum qualification to level 3 but Diploma level is preferred or working towards with a view to completion within 12 months.
*Advanced knowledge of CASS. In particular how this applies to platforms.
*Advanced knowledge of the structure of the FCA handbook, rules and principles and how they apply to the businesses. The regulatory landscape for platforms is a key knowledge requirement.
*Demonstrable understanding of the structure, the firms in the Group, key personnel in the regulated firms, and the main activities of the regulated firms.
*Demonstrable knowledge of strategic aims, its distribution channels and strategic partners.
*Good understanding of risk management and familiarity with risk management systems.
*Ability to plan and organise monitoring reviews and manage own workload/time effectively around this.
*Ability to analyse and interpret complex information/situations effectively to draw conclusions and propose well-reasoned guidance.
*Ability to lead interviews and conduct debriefs with senior management.
*Confident in making regulatory judgements but recognises where decisions may be outside own limits and proactively seeks the necessary authority. Involves others in the decision making process to get a variety of inputs.
*Advanced written and verbal communication skills.

It is essential you have commercial experience of the above. If you're interested in this vacancy and an experienced Compliancewe welcome applicants from all backgrounds.