Audit and Regulatory Consultant (DA)
23/08/2024
Purpose of the Role
To proactively deliver regulatory compliance support services to meet with the firm’s risk mitigation, needs and objectives to help to deliver good customer outcomes.
Identify opportunities and trends and deliver a quality service. Aim to be the market leading support services brand for directly authorised firms.
Responsibilities
- Prepare and deliver comprehensive and practical Compliance Support Services, support to
clients need and objectives, to assist with the delivery of good customer outcomes. - Produce and deliver reports and action plans including practical solutions to specific
business needs for clients to enable them to develop, monitor and maintain compliance
standards. - Provide constructive feedback to assist with the review, development and maintenance of
internal documentation to enable delivery of quality services. - Develop and maintain effective and proactive working relationships with internal and
external stakeholders - Maintain and develop own technical and regulatory knowledge.
- Take opportunities, both reactive and proactive to assist with the development of additional
services and support for clients. - Support negotiation of Contract Renewals and management of retention risk with internal
and external stakeholders. - Support customer training/meetings at client or external premises. Representing Sesame
Bankhall Group professionally at both Sesame Bankhall Group and Industry events, where
required. - Actively support and engage with business projects as required by Regulatory and
Consultancy Manager to meet client needs and business objectives. - Manage own time effectively to achieve objectives and key milestones agreed, together with
planning and completing personal development activity - To undertake ad hoc projects and duties as and when required, to support the needs of the
business or to achieve departmental objectives
Critical behaviours required:
Competency | Level |
| Communication | B |
| Technical | B |
| Managing & leading yourself & others | B |
| Developing yourself & others | A |
| Service Excellence | B |
| Commercially Focused | A |
| Embracing Change | B |
| Teamwork | B |
Personal profile
Qualifications required
Essential:
- Level 4 Diploma in Financial Services or equivalent
- Supervisory competence
Desirable:
- Level 3 certificate in mortgage advice or equivalent
- J07 or equivalent qualification (Supervision in a regulated environment)
Experience required:
Essential
- Relevant experience in a similar role.
- Supervisory experience
Our Expectations:
Our Approach to Risk Management:
- You will require an awareness of operational and regulatory risk, which may impact on SBG. You will be responsible for reporting to their line manager any risk which may impact on the business.
Three Lines of Defence Risk Management Model:
- You will be required to deliver your role competently and comply with the relevant standards and procedures, ensuring that SBG deliver a service where suitable advice is given to the end consumer, which is adequately recorded and ultimately promotes good customer outcomes. This can either be through direct influence or in a support services capacity.
The Consumer Duty Principle:
- You will be required to ensure that the Consumer Duty principle is embedded into the team’s culture, departmental procedures and practices and that management controls and MI are in place to monitor performance against the Consumer Duty principle, where these are required by the business.
Information Security:
- You are required to promote information security in your department, encouraging best practice by ensuring your staff comply with the information security principles, policies and procedures. You will need to monitor workplace practice in line with these policies and procedures and deal firmly with any instances of non-compliance.
SBG’s 6 Star Service Delivery:
- You will need to achieve 6-star service delivery through embedding the 6-star service objectives into to the team culture. You will be required to encourage and exhibit the behaviours that fit within the SBG service charters, leading the team to ensure a clear vision of what 6-star service means for the team, ensuring that service is at the forefront of decision-making processes.