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Careers

Regulatory Developments Manager 

Based in London

Ref: SAN344

 

The role

Your role will be the first line of defense for Sanlam in the UK for identifying emerging regulatory developments.
 
As a member of our central compliance team (and reporting directly to our Deputy Head of Compliance); your role will be to ensure we operate an effective process for regulatory development tracking, assessment and implementation.  You will also be taking an active role in the production and delivery of a group wide policy framework including the drafting and implementation of policies e.g. whistleblowing, approved persons, conduct policies. 
 
Key to this role will be your ability to conduct Initial assessments on regulatory developments to determine whether or not they will affect the Sanlam UK businesses; produce high-level, tailored written summaries of regulatory developments to the businesses; documenting the initial impact assessment and sharing these with the relevant Advisory Compliance teams and other business areas as necessary; and co-ordinate and assist with the implementation of group-wide regulatory changes
 
You will also manage the approved person process and be responsible for complex FCA/PRA approved person applications and assist with central compliance tasks when necessary e.g. occasional sign offs on gifts and hospitality and personal account dealing.
 
This would be a great role for an experienced compliance or possibly legal professional who is looking to develop their experience across a wide range of tasks, projects and initiatives.
 
Skills and experience
 
Successful candidates are likely to demonstrate the following:

  • Proven experience in a role involving assessing and implementing regulatory developments in a financial services environment and managing these to implementation: i.e. DFM, Asset management, IFA, broking, Life and Pensions (or a combination))
  • Experience of creating, maintaining and implementing compliance policies and procedures.
  • Conversant with the FCA Rules and associated guidance, EU Directives/Regulations affecting the financial services industry; Solvency II knowledge desirable. Experience of SMCR an advantage.
  • Familiarity with 2 or more areas from approved person applications, gifts and hospitality, financial promotions and PAD.

 If you think you're our sort of person, please email resourcing@sanlam.co.uk with your details.

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