Job Summary:

• Coordinate onsite examinations conducted by Northern Trust’s regulators
• Work closely with relevant subject matter experts and stakeholders to prepare responses to regulatory exam requests, inclusive of preparing personnel for meetings with regulators.
• Provide strategic advice and regular updates to management regarding the matters being handled, including, but not limited to, the timely escalation and resolution of potential issues.
• Identify mitigating facts and circumstances to respond to issues identified during examinations or other engagements.
• Manage responses to supervisory letters, working with key stakeholders to develop responses.
• Maintains thorough knowledge of banking regulations, bank operations and procedures, risk management controls, and other internal control objectives and practices, relevant to Northern Trust’s prudential regulators.
• Communicate extensively (orally and in writing) and develop effective relationships with regulators.
• Establish and develop effective relationships with Internal Audit, Risk Management, the Business and Legal.
• Create and provide regular reporting to update senior management and relevant committees

Skills on Resume:

•  Exam Coordination (Hard Skills)
• Regulatory Response (Hard Skills)
• Strategic Advising (Soft Skills)
• Issue Resolution (Soft Skills)
• Supervisory Letter Management (Hard Skills)
• Banking Regulations Knowledge (Hard Skills)
• Regulatory Communication (Soft Skills)
• Stakeholder Collaboration (Soft Skills)

Job Summary:

• Act as compliance point person on digital transformation initiatives taking place within the business, to provide guidance to clients based on technical legislative requirements, review controls to mitigate risk
• Respond to complex questions from business partners
• Act as a Subject Matter Expert with respect to the legislative and regulatory requirements impacting Canada Retirement
• Review external communications to ensure compliance and applicable policy requirements are observed
• Perform detailed legislative analysis, understanding impacts, and following through with the business in terms of meeting required deadlines.
• Review contracts and advising on contractual templates for compliance with regulatory requirements
• Review of regulatory documentation (i.e. specimen plans, plan design, requests for proposals, Canada Revenue Agency forms and other documentation)
• Advise on customization requests and requests for proposals
• Develop, implement, and maintain legislative tools to guide and inform business partners of applicable requirements
• Keep up to date with regulatory changes, communicating updates and changes appropriately and ensuring compliance with the team’s regulatory management compliance program 

Skills on Resume:

• Compliance Guidance (Soft Skills)
• Risk Control Review (Hard Skills)
• Legislative Expertise (Hard Skills)
• Communication Compliance (Hard Skills)
• Legislative Analysis (Hard Skills)
• Contract Review (Hard Skills)
• Proposal Advising (Soft Skills)
• Regulatory Updates (Soft Skills)

Job Summary:

• Analyze compliance requirements to design appropriate solutions, develop and modify all compliance standards and procedures and develop compliance programs
• Administer and design work plans to achieve compliance objectives effectively and manage large and complex projects
• Evaluate all compliance programs and content, perform regular risk assessments on audits of the various compliance programs
• Perform research and maintain knowledge of all related regulations and statutes, and design compliance policies and procedures that implement new regulations and statutes 
• Design required tools to assess all risks and monitor all processes to ensure compliance with industry regulations
• Provide necessary training to team members on new compliance regulations and statutes and processes
• Manage timely communications regarding changes and coordinate with cross-functional teams to ensure proper adherence to compliance programs
• Perform filings per requirements, evaluate all audits and answer all inquiries
• Assist in ongoing monitoring and approval of personal trading, gifts and entertainment activities, outside activities, political contributions and other Code of Ethics policies and procedures
• Assist in the day-to-day compliance tasks such as trade alerts and tests.
• Assist in managing restricted list/watch lists and related issues
• Assist with Compliance Manual updates and related policies and procedures

Skills on Resume:

• Compliance Solutions (Hard Skills)
• Project Management (Hard Skills)
• Risk Assessment (Hard Skills)
• Regulatory Research (Hard Skills)
• Risk Monitoring (Hard Skills)
• Compliance Training (Soft Skills)
• Cross-Functional Coordination (Soft Skills)
• Compliance Filings (Hard Skills)

Job Summary:

• Providing technical advice on MLCL’s compliance obligations (legislative / regulatory, product, contractual) and how they practically apply, assess the associated compliance risks and escalate issues 
• Maintaining fit-for-purpose obligations in business compliance plans / risk systems, including through the assignment of new obligations to appropriate owners.
• Providing advice and challenge on the education and training requirements that certain teams must meet so MLCL can provide the services under its Australian Financial Services Licence.
• Assisting with the management of corporate compliance obligations, including conflicts of interest and AFSL / ACL licence management.
• Preparing compliance reporting for management and governance forums, including the Board, Non-Financial Risk Committee and external superannuation and distribution partners.
• Developing training for the business on core compliance obligations and advise the People Team on appropriate content to be included in Compliance-owned training modules.
• Performing periodic controls testing (design effectiveness and operational effectiveness) for compliance-owned processes.
• Providing regular support to other Line 2 teams including Business Risk Partners, Regulatory Affairs and Governance.
• Conducts Minor / Major / Critical Deviation investigations in their respective areas as necessary and documents such investigations appropriately
• Leads Root Cause Analysis to identify the most probable root cause, determine product impact, and assign appropriate CAPAs with responsibilities and due dates
• Performs trending to identify and report adverse trends that may require further action
• Completes investigations within the specified time-frames
• Develops corrective and preventative actions to prevent problem recurrence and establishes an effective follow-up system to ensure corrective and preventative actions have been implemented and are effective
• Reports performance metrics to Project Leader on a periodic basis

Skills on Resume:

• Compliance Advice (Soft Skills)
• Risk System Management (Hard Skills)
• Training Requirements (Soft Skills)
• Licence Management (Hard Skills)
• Compliance Reporting (Hard Skills)
• Controls Testing (Hard Skills)
• Root Cause Analysis (Hard Skills)
• Corrective Actions (Hard Skills)

Job Summary:

• Own and project manage HR compliance projects/ initiatives including discovery, planning, building, and execution through partnership with both internal and external stakeholders.
• Support the US-based pre-employment screening process and escalations including pre-adverse process
• Partner with HR technology on HR compliance system enhancements
• Serve as SME for HR compliance vendor systems.
• Partner with the Employee Service Center on ensuring day-to-day I-9 support and ongoing processes are completed to drive I-9 compliance.
• Make recommendations for Form I-9 strategy/ process improvements. 
• Support Form I-9 matters and conduct periodic compliance audits regarding Form I-9 Employment Eligibility Verifications and other related items, including analysis and interpretation of the data.
• Build third-party labor employment practices compliance & audit strategy, focusing on background checks and I-9/ E-verify. 
• Work with Supply chain to ensure contract labor is properly screened with requisite pre-employment requirements.
• Oversee external contract compliance including ensuring contract alignment to current background check practices.
• Collaborating with talent acquisition and other internal teams for effective implementation and best practices. 

Skills on Resume:

• HR Projects (Hard Skills)
• Screening Support (Hard Skills)
• System Enhancements (Hard Skills)
• Vendor Expertise (Hard Skills)
• I-9 Compliance (Hard Skills)
• Process Improvements (Soft Skills)
• Compliance Audits (Hard Skills)
• Contract Oversight (Hard Skills)

Job Summary:

• Collecting the data, interpreting the results, and advising on any process/system enhancements or improvements from a user experience perspective.
• Partner with internal audit and business leaders to manage and respond to requests for HR data and information for internal and external audits.
• Develop communications and trainings regarding employment-related compliance initiatives (local, state and federal).
• Create and analyze key metrics and business case reports for the Global Employment Practices team, including developing the report structure, metrics, and analyzing and interpreting the data.
• Remains abreast of best practices and trends relevant to HR compliance, conducts research and makes recommendations
• Support post-hire screening processes
• Support M&A employment practices efforts as needed including I-9 processes/ audits, background check adjudication, and other projects
• Prepare employment verification letters for former employees.
• Review, update, and improve self-service materials on a quarterly basis or more frequently as needs arise.
• Communicate directly with external vendors.
• Oversee or participate in other projects or initiatives including, but not limited to compensation-related compliance programs, and partnering with Environmentmal, Health and Safety on safety-related compliance programs.

Skills on Resume:

• Data Collection (Hard Skills)
• Audit Support (Hard Skills)
• Compliance Training (Soft Skills)
• Metrics Analysis (Hard Skills)
• Compliance Research (Soft Skills)
• Post-Hire Screening (Hard Skills)
• Employment Verification (Hard Skills)
• Vendor Communication (Soft Skills)

Job Summary:

• Working in a team of CORU analysts to ensuring all CORU deliverables are completed within defined SLAs
• Providing an expert investigative, consultancy and advisory service to Law Enforcement Authorities by reaching and analysing information held the bank to aid investigations and court judgments
• Bringing knowledge and experience of working across Retail and Corporate products and an understanding of FC risks associated with a Personal and Non-Personal customer base
• Works co-operatively and productively with others, openly exchanging information and supporting colleagues from around the organisation to achieve business goals
• Issue Energy Performance Certificates and complete written reports
• Undertake TM44 inspections
• Support with Carbon Management Plans, Heat Decarbonisation Plans and Net Zero strategies
• Complete surveys of building services and industrial processes, across a range of public sector, industrial and commercial clients, with the aim of identifying and quantifying energy reduction opportunities
• Undertake site inspections and analyse findings
• Support compliance and grant programmes such as the Energy Savings Opportunity Scheme (ESOS), Streamlined Energy and Carbon Reporting (SECR) and the Public Sector Decarbonisation Scheme (PSDS)

Skills on Resume:

• SLA Management (Hard Skills)
• Investigative Support (Soft Skills)
• FC Risk Expertise (Hard Skills)
• Team Collaboration (Soft Skills)
• Energy Certifications (Hard Skills)
• TM44 Inspections (Hard Skills)
• Carbon Management (Hard Skills)
• Compliance Support (Hard Skills)

Job Summary:

• Assist to collect industry information and regular update of compliance relevant laws and regulation to support as observation of trends and best practices in compliance management.
• Regular compliance risk assessments through expense report data analysis
• Follow up on compliance monitoring program including on-site spot check findings and quarterly compliance documentation checking report by providing comprehensive investigation procedure and drafting evaluation report.
• Regular compliance communication towards employees, including compliance trainings and business coachings.
• Compliance case management including management of compliance measures mitigating identified incidents and consulting the business to achieve compliance.
• Perform regular Compliance spot checks
• Support of Business partner relevant compliance requirement including Shire monitoring program and other potential audit/inspection.
• Act as internal control expert to support of ICS project for testing result follow up Supports the group compliance approach including gSOP localization and provide relevant timely reports.
• Conduct compliance approval for events application
• Support within the function with other Compliance relevant projects and initiatives.

Skills on Resume:

• Industry Research (Hard Skills)
• Risk Assessment (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Compliance Training (Soft Skills)
• Case Management (Soft Skills)
• Spot Checks (Hard Skills)
• Audit Support (Hard Skills)
• Event Approval (Hard Skills)

Job Summary:

• Improve standards and implement procedures to ensure that the compliance program throughout the organization is effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable laws and regulations.
• Collaborate within the compliance team to implement compliance change management programs and oversee the compliance framework.
• Work towards the implementation of the annual compliance work plan.
• Prepare periodic reporting for senior management.
• Provide strategic direction to the bank’s management team regarding compliance issues.
• Collaborate with compliance staff to develop best practices.
• Communicate with NYSBD and FRB examiners on a regular basis
• Collaborate with department leadership to keep them up to date on all daily aspects of the department.
• Research and maintain up to date knowledge in terms of regulations and policies.
• Implement new changes and ensure the controls put into place are appropriate and fully compliant.
• Review and approve all firms advertisements for compliance with applicable law.
• Draft and/or review forms, disclosures, agreements, etc. for business lines as the need arises.
• Assist in managing compliance analysts 

Skills on Resume:

• Compliance Procedures (Hard Skills)
• Change Management (Soft Skills)
• Work Plan Implementation (Hard Skills)
• Reporting Preparation (Hard Skills)
• Strategic Direction (Soft Skills)
• Regulatory Communication (Soft Skills)
• Policy Research (Hard Skills)
• Advertisement Review (Hard Skills)

Job Summary:

• Review and analyze current state programs/RCM workflows, identify gaps and advise on practical solutions that meet RCM process requirements, document and track action plans to completion
• Execute on the strategic vision on RCM monitoring and governance by supporting the design and implementation of a holistic RCM governance framework that enables reasonable assurance, oversight, accountability, and timely implementation of regulatory changes impacting the organization
• Collaborate with stakeholders to enhance existing RCM processes with appropriate governance controls, taking a holistic view to drive a consistent approach to various operating environments
• Partner and strategize with stakeholders to design and develop of relevant RCM reports and meaningful metrics for management
• Utilize technology, establish metrics and reporting to establish meaningful risk focused insights at regional and global levels
• Write and revise RCM program documentation such as guidelines, procedures, standards, and other related materials
• Manage the relationship with MetLife’s horizon scanning vendor
• Analyze existing processes, observe best practices, and provide recommendations and insight to increase efficiency and effectiveness of processes
• Foster a continuous improvement mindset and propose enhancements to the compliance risk management framework, leveraging data and technology, informed by industry standards and best practices
• Contribute to a positive and supportive team culture that embraces change and succeeds through both collaboration and individual accountability.

Skills on Resume:

• Workflow Analysis (Hard Skills)
• RCM Governance (Hard Skills)
• Process Enhancement (Soft Skills)
• Stakeholder Collaboration (Soft Skills)
• Metrics Development (Hard Skills)
• Documentation Management (Hard Skills)
• Vendor Relationship (Soft Skills)
• Continuous Improvement (Soft Skills)

Job Summary:

• Review insurance company coverage forms for compliance with state specific requirements
• Draft insurance company coverage forms
• Perform coverage comparisons of forms of two or more insurance companies
• Complete state Departments of Insurance (“DOI”) requirements’ checklists
• Respond to interrogatories from the DOI on form filings
• Review client operations for compliance risks
• Effectively complete projects within defined project timelines and budget
• Assist other consultants with similar responsibilities
• Peer review of other's work product
• Effectively interact with other practice groups within the firm
• Identify risks (e.g. regulatory change management, licensing/appointments, advertising) related to compliance with requirements set forth by regulatory authorities
• Identify risks (e.g. underwriting and claims manuals, best practices) related to operational gaps and/or inefficiencies

Skills on Resume:

• Form Compliance Review (Hard Skills)
• Coverage Drafting (Hard Skills)
• Coverage Comparison (Hard Skills)
• DOI Checklist Completion (Hard Skills)
• Interrogatory Response (Hard Skills)
• Compliance Risk Review (Hard Skills)
• Project Management (Soft Skills)
• Peer Review (Soft Skills)

Job Summary:

• Overseeing all candidate registrations to full compliance
• Making outbound recruitment calls contacting potential candidates and clients
• Qualifying candidates ensuring they fit client needs
• Networking with both passive and active job seekers
• Supporting Recruitment Consultants
• Maintain a robust audit trail to evidence how regulatory change is being implemented
• Provide support to the business in respect of identified regulatory issues or adhoc queries
• Act as the appointed Compliance Consultant on propositional developments and other project work
• Assess the compliance risks for each project allocated
• Provide advice and guidance to ensure compliant solutions are implemented
• Create, develop and maintain strong relationships with stakeholders across the business

Skills on Resume:

• Compliance Oversight (Hard Skills)
• Recruitment Calls (Hard Skills)
• Candidate Qualification (Hard Skills)
• Networking (Soft Skills)
• Consultant Support (Soft Skills)
• Regulatory Tracking (Hard Skills)
• Regulatory Support (Hard Skills)
• Compliance Advisory (Hard Skills)

Job Summary:

• Assist in the administration of compliance programs adopted pursuant to SEC Rule 38a-1.
• Support the annual processes for FINRA Rule 3120, SEC Rule 38a-1 and state/federal testing requirements.
• Ensure timely and accurate regulatory filings, including registration statements, amendments, supplements and state related filings.
• Review electronic communications sent and received by associated persons of the firm in various systems.
• Provide FINRA review of advertising and marketing materials to ensure compliance with FINRA, SEC and state regulatory requirements.
• Assist in the development and execution of the comprehensive risk-based monitoring and testing to determine the effectiveness of policies and procedures and compliance with regulatory requirements.
• Review, analyze and update current policies and procedures, identify, recommend and implement new and/or enhanced practices.
• Make timely and logical decisions and recommendations in complex and unusual situations in the absence of specific direction.
• Train and educate business partners on securities products, compliance and FINRA advertising guidelines.
• Manage the on-boarding of new registered representatives which includes reviewing and credit and background reports.
• Assist new representatives on licensing requirements in required states and schedule exams.

Skills on Resume:

• SEC Compliance Administration (Hard Skills)
• Regulatory Testing Support (Hard Skills)
• Regulatory Filings Management (Hard Skills)
• Communications Review (Hard Skills)
• Advertising Compliance (Hard Skills)
• Risk Monitoring (Hard Skills)
• Policy Review (Hard Skills)
• Complex Decision Making (Soft Skills)

Job Summary:

• Conduct branch and non-registered office inspections.
• Update and maintain complete and accurate policies, procedures, compliance logs and files.
• Manage fingerprinting process for all non-registered employees and ensure all are completed timely.
• Identify continuing education (CE) requirements for current registered representatives and schedule exams 
• Manage U-4 amendments (i.e. outside business activity, address changes, disclosures, state).
• Manage annual year end renewals and state registrations to ensure all licensing requirements are accurate and updated in addition to being accountable for record retention of this information.
• Participate in special projects to ensure that corporate initiatives are successfully completed.
• Commitment to embrace Sammons Financial Group Companies shared values (Respect, Accountability, Integrity, and Openness)
• Participate in other initiatives and/or projects

Skills on Resume:

• Branch Inspections (Hard Skills)
• Policy Maintenance (Hard Skills)
• Fingerprinting Management (Hard Skills)
• CE Requirements (Hard Skills)
• U-4 Amendments (Hard Skills)
• Licensing Renewals (Hard Skills)
• Special Project Participation (Hard Skills)
• Values Integration (Soft Skills)

Job Summary:

• Performing compliance risk assessments, fair lending analysis, and Community Reinvestment Act Evaluations.
• Communicating to the client any findings or recommendations identified as they arise.
• Preparing and issuing timely and accurate written audit reports on the results of reviews performed, including any findings and recommendations.
• Notifying management of any client concerns and/or complaints, participating in client meetings and executing presentations.
• Developing and maintaining strong client relationships.
• Designing and executing education and training programs for the Compliance Division and clients.
• Keeping apprised on rules and regulations.
• Assisting in the development of the compliance monitoring plan
• Reviewing compliance risks and advising on the design of controls
• Conducting compliance monitoring reviews and reporting on findings (often remotely)
• Providing technical regulatory advice across the business
• Aiding in embedding a compliance culture
• Liaising with internal and external stakeholders
• Keeping abreast of regulatory and legislative developments

Skills on Resume:

• Risk Assessments (Hard Skills)
• Findings Communication (Hard Skills)
• Audit Reporting (Hard Skills)
• Client Relations (Hard Skills)
• Education Program Design (Hard Skills)
• Regulatory Knowledge (Hard Skills)
• Monitoring Plan Development (Hard Skills)
• Stakeholder Liaison (Soft Skills)

Job Summary:

• Develop, implement and maintain compliance programs, policies and procedures to ensure that Affinity Markets meets applicable regulatory requirements.
• Conduct legislative analysis and impact assessments based on requests from the business relating to projects, initiatives, or new product lines. 
• Undertake legislative and regulatory monitoring and business impact/analysis as it affects the Affinity business lines. 
• Manage and/or participate in Legislative Advisory Committee(s) 
• Provide guidance to advisors and others who are sponsored by or contracted with Affinity Markets for the sale of insurance. 
• Act as a resource to the licensing team and assist them on escalated applications before approval by Affinity Markets.
• Develop, monitor and deliver targeted employee training on compliance matters.
• Prepare self-assessments and other reports required by Divisional Compliance and Affinity Markets management.
• Develop, and carry out, assessment programs to ensure compliance controls are operating effectively.
• Participate as a compliance representative on business initiatives and projects to improve compliance controls within Affinity Markets.
• Participate in Divisional discussions regarding compliance programs. 

Skills on Resume:

• Program Development (Hard Skills)
• Legislative Analysis (Hard Skills)
• Regulatory Monitoring (Hard Skills)
• Committee Management (Hard Skills)
• Advisor Guidance (Hard Skills)
• Licensing Support (Hard Skills)
• Training Delivery (Hard Skills)
• Compliance Assessment (Hard Skills)

Job Summary:

• Investigate situations where a compliance issue has been identified, and either resolve the problem or escalate to the Compliance Director and/or the Chief Compliance Officer. 
• Investigate privacy incidents in conjunction with the Privacy Officer to provide advice and direction on incident management. 
• Respond to complex compliance inquiries from all areas of the business unit and provide timely and creative solutions that address the needs of the client, the advisor and Manulife, while satisfying regulatory requirements.
• Conduct marketing reviews and provide related approvals in accordance with Manulife policies and procedures.
• Prepare documentation and supporting materials in support of audits and regulatory examinations and regulatory compliance incidents. 
• Participate in any other tasks that may be assigned from time to time.
• Responsible for providing well-thought through and accurate compliance advice and challenge related to business projects and legal and regulatory change.
• Perform large-scale audits of organizational reporting methods and processes to ensure regulatory adherence
• Evaluate risk levels and impact
• Create corrective plans to close down data and reporting gaps
• Define new metrics and procedures to ensure an ever-improving compliance culture
• Design and implement new monitoring tools and processes

Skills on Resume:

• Compliance Investigation (Hard Skills)
• Privacy Incident Management (Hard Skills)
• Regulatory Compliance Solutions (Soft Skills)
• Marketing Review Approvals (Hard Skills)
• Audit Preparation (Hard Skills)
• Risk Evaluation and Mitigation (Soft Skills)
• Compliance Monitoring Tools (Hard Skills)
• Regulatory Reporting (Hard Skills)

Job Summary:

• Undertaking individual claims file reviews with and for Case Managers
• Conducting duration management reviews and development of appropriate claims strategies for ensuring quality health and claim outcomes
• Assisting with the management of audits, both internal and external, on the Claims function
• Completing quality and compliance reporting, including preparation of monthly operational reports and providing data on a regular and ad hoc basis to relevant stakeholders
• Providing ongoing coaching and mentoring to Case Managers on the claims management process, enabling them to provide exceptional customer service to clients
• Being the escalation point for technical advice for Case Managers, undertaking duties including the provision of advice on the technical interpretation of policies and contract requirements
• Providing regular feedback and guidance to Claims Team Managers on the performance of Case Managers, including advice regarding development opportunities for individuals
• Developing and delivering training for the TAL Claims team regarding technical claims strategies as required, including the development of education material and publications
• Obtain and examine large data sets to isolate efficient testing samples
• Perform sample testing to verify effective controls or identify weaknesses and assess risks with guidance of the identified gaps
• Leverage observations to influence policy and/ or procedure enhancements
• Establish, evolve, and maintain relationships with business partners built on trust and accountability

Skills on Resume:

• Claims Review (Hard Skills)
• Duration Management (Hard Skills)
• Audit Support (Hard Skills)
• Compliance Reporting (Hard Skills)
• Coaching Support (Soft Skills)
• Technical Guidance (Soft Skills)
• Training Delivery (Hard Skills)
• Relationship Building (Soft Skills)

Job Summary:

• Support the Head of Compliance to maintain the Company’s Compliance Framework
• Produce monthly regulatory developments' radar, identifying new and emerging legislation and the impact of same on AIIDAC and support the business to respond to the changing regulatory landscape, ensuring efficient, effective, and timely implementation.
• Ensure that any breaches of regulation are recorded and reported to internal and external parties as appropriate, ensuring adequate incident reports are compiled, reviewing remedial actions and overseeing implementation of these actions.
• Act as liaison between the Compliance function and the business units as required, ensuring that relevant staff are aware of their duties, report breaches which have occurred and are briefed on emerging legislation 
• Assist with review of new products, documents, and marketing materials for compliance with relevant regulatory requirements
• Represent the Compliance function where necessary in any Project / Proposition Working Groups
• Assist the Head of Compliance in implementing, reviewing and amending the Company’s Charter, Compliance Plan and other relevant procedures.
• Assist the second line compliance monitoring function to identify areas for review and working with the business in closing out any issues that such reviews may highlight
• Play a key role in helping to deliver EDF’s Company Obligation (ECO) target whilst contributing towards helping Britain achieve net zero
• Responsible for ensuring EDF has sufficient controls and checks in place to mitigate compliance risks in the delivery of ECO.
• Engage with senior stakeholders, internally and externally, presenting clear and concise information
• Maintain up to date knowledge of the ECO guidelines which change from time to time whilst ensuring colleagues and external delivery partners are aware of updates to guidelines 

Skills on Resume:

• Compliance Monitoring (Hard Skills)
• Incident Reporting (Hard Skills)
• Legislative Analysis (Hard Skills)
• Framework Support (Hard Skills)
• Product Review (Hard Skills)
• Compliance Liaison (Soft Skills)
• Procedure Implementation (Hard Skills)
• Stakeholder Engagement (Soft Skills)

Job Summary:

• Ensuring all new insurance policies issued to customers of Group Protection are screened for regulatory checks to ensure Group Protection comply with L&G Divisional Financial Crime standards.
• Ensuring Group Protection's products, processes and related product material comply with relevant anti-financial crime legislation and related regulatory requirements so that Group Protection meets its responsibilities in these areas.
• Providing a technical support function for the Group Protection business unit in relation to financial crime measures, giving general and case specific guidance on products and legislative issues to ensure Group protection can meet its obligations while providing an excellent service to its customers.
• Ensuring the anti-financial crime measures are at the fore front of the development of new Group Protection products and propositions.
• Ensuring promotional material and core literature provided to customers provides required anti-financial crime wordings in order to meet Group Protection’s legal and regulatory requirements.
• Ensuring issues are identified and addressed to ensure that customers are treated fairly in line with L&G’s Customer Experience and Treating Customers Fairly Policy.
• Support the Head of Tax in their strategic advisory role and work alongside Risk Managers ensuring compliance with the operational risk framework
• Applying substantial technical and business knowledge of the financial services sector and in-depth knowledge of unit pricing, operations, local custody and master custody.
• Liaise with regional and global tax partners, interacting on company policy and tax issues.
• Externally liaise with the ATO, industry groups, external auditors and accountants.
• Ensuring tax policies reflect regional legislative changes and consider current research and developments.

Skills on Resume:

• Regulatory Screening (Hard Skills)
• Compliance Checks (Hard Skills)
• Financial Crime Support (Hard Skills)
• Product Development Compliance (Hard Skills)
• Promotional Review (Hard Skills)
• Customer Fairness (Soft Skills)
• Risk Compliance (Hard Skills)
• Tax Policy Liaison (Soft Skills)

Job Summary:

• Improve compliance standards by the provision of clear guidance and fair challenge
• Ensure that regulatory requirements and the customer are at the heart of everything
• Liaise with and influence internal Senior Management and external third parties
• Keep abreast of regulatory and business change
• Share expertise and knowledge both internally and within the business
• Escalate any identified issues to Senior Management
• Establish, enhance and implement relevant Compliance procedures
• Identify and communicate new regulatory changes relevant to UK businesses
• Provide support to regulatory change oversight meetings
• Provide accurate, clear and comprehensive regulatory interpretations that help the business implement change effectively
• Provide support to Regulatory Change projects

Skills on Resume:

• Compliance Guidance (Soft Skills)
• Regulatory Focus (Hard Skills)
• Stakeholder Influence (Soft Skills)
• Change Monitoring (Hard Skills)
• Knowledge Sharing (Soft Skills)
• Issue Escalation (Soft Skills)
• Procedure Implementation (Hard Skills)
• Regulatory Support (Hard Skills)