- Birmingham, England, United Kingdom +1 more
Support the operation of the business control framework by monitoring activities, maintaining governance records, producing management information, supervising operational and regulatory risks, supporting Consumer Duty oversight and ensuring first‑line controls are embedded across the business.
Locations (2)
- Birmingham, England, United Kingdom
- Bromsgrove, England, United Kingdom
Responsibilities
- Maintaining operational risk registers, control inventories and associated action plans
- Recording, monitoring and reporting operational incidents, breaches, complaints, near misses and conduct issues
- Supporting risk assessments and control reviews across Financial Planning and Employee Benefits operations
- Supervising remediation activities and ensuring actions are completed within agreed timescales
- Supporting root cause analysis relating to recurring operational issues, errors and customer outcomes
Requirements
- Nice to have: desirable experience within FCA‑regulated Financial Planning or Employee Benefits business