Director of Reglation & Compliance
Capita plc
19d ago

Must be CF9 certified or equivalent experience.

n exciting opportunity has arisen for an experienced Regulation & Compliance Director to join our People Solutions division's senior leadership team.

1. Job Purpose

  • To drive and maintain the business strategy for Pension Management based on the core strategic objectives; simplify, strengthen and succeed
  • Implement and deliver a year on year business plan which provides incremental growth in; sales and profit creating sustainability for the sub pillar and the wider division
  • Retention of clients whilst demonstrating year on year improvements to client and employee satisfaction levels
  • Lead and empower a team of business leaders to deliver year on year improved performance which includes; financial metrics and people metrics
  • To lead and motivate large groups of employees through effective and appropriate communication channels whilst delivering clear succession plans to support development and sustainability
  • Be an ambassador of the Company values
  • To be the face of Pensions Management, managing client relationships to deliver incremental growth in sales
  • To work collaboratively with your peer group to manage, asses and mitigate any business risks whilst ensuring the service delivered to clients is appropriate, compliant and meets contractual standards
  • 2. Key Accountabilities

  • Develop a customer centric led division to delight our customers whilst working within the parameters of the FCA Regulations
  • Develop and influence a culture of ownership and accountability amongst teams to promote positive working relationships
  • Accountable for divisional regulatory compliance, ensure the business is always operating within the FCA regulations cultivating a compliance and risk approach in everything we do whilst ensuring these controls and standards are implemented and maintained
  • Driving a culture of continuous improvement through maximising efficiencies whilst underpinning sustainability
  • Own and drive the People Agenda for your sub pillar, creating a highly engaged workforce
  • Develop and deliver your business plan and Financial budget to be stretch that allows for year on year incremental growth and optimise performance
  • Provide leadership and direction for your senior team including all aspects of people management for direct reports
  • Be a coach to your direct reports
  • Be an ambassador of the Company Values and be a role model for others
  • 3. Responsibilities will include;
  • Communication cadence for the sub pillar
  • Stakeholder engagement with all levels of the Division, including People Solutions Executive Committee
  • Employee engagement for the pillar
  • Being aware of and complying with FCA regulatory requirements and expectations and understanding how they apply to the day to day exercise of controlled functions.
  • Specifically;
  • a. Meeting and complying on an ongoing basis with the FCA’s Fit and Proper test for Approved Persons

    b. Complying with the Statements of Principle and the Code of Practice for Approved Persons set out in the APER

    c. Reporting to Risk & Compliance any matter that may impact on one’s ongoing fitness and propriety to enable notification to the FCA if appropriate

  • Reviewing performance against business plan and as appropriate taking or recommending, to the Senior Leadership Team, corrections or improvements to ensure that Business Plan is met or exceeded in line with the companie’s risk strategy / appetite
  • Producing reports to a standard and frequency agreed with the Managing Director
  • 4. Organisation Chart & People responsibility

    Reports to : Managing Director of Pension and Benefits Pillar

    6. Key Relationships

  • Managing Director
  • Directors / Head of / Managers
  • Business Partner / HROP’s
  • Direct Reports
  • Functional Leads
  • 7. Financial and Legal Responsibilities

    Budget Responsibility and FCA regulatory compliance

    8. Environment

    Agile working with travel to sites across the UK in line with business requirements and an expectation to be in London each week

    Essential :

  • Experience of operating at CF Level
  • CF 29 Requirement
  • Pensions knowledge and an understanding of the economic and market environment
  • Previous experience of working within a regulatory environment
  • Ability to build and maintain positive working relationships at all levels in the business
  • Strategic thinker with the ability to understand the detail of the operations day to day
  • Analytical having the ability to make decisions quickly
  • Ability to lead and motivate others
  • Ability to influence others
  • Collaborative approach to working
  • Ability to communicate at all levels
  • Ability to coach direct reports
  • Desirable :

  • Advanced Diploma in Retirement provision
  • Diploma in Retirement Provision
  • Retirement Provision Certificate
  • Certificate in pension Calculations
  • Certificate in Pensions Essentials
  • FA2 Pensions Administration
  • Apply
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