Purpose of the role
This role can be fully remote or from one of our locations across the UK such as Edinburgh, Glasgow, Salisbury or London.
As a Senior analyst in the SMCR/Regulatory Engagement team, you will support the SMCR Senior Manager/Lead with managing the relationship with the FCA and PRA as well as the SMCR Framework. You will ensure good governance around the interaction with the regulators.
You will provide support to the SMCR and People team in submitting SMCR-related applications and certification updates to the FCA.
You will help maintain the relevant sections of the Management Responsibilities Map (MRM) and provide updates to the Company Secretariat where appropriate.
You will support engagement with other external bodies – e.g. trade bodies and compliance forums - as appropriate.
Responsibilities
Support the SMCR lead/senior manager with coordinating responses to regulatory information and data requests and drafting Principle 11 and SUP 15 notifications and supporting meetings with the regulators
Coordinate and track:
actions taken as a result of regulatory interaction
provisions of responses to the regulators
Collaborate with the SMCR and People team to ensure SMCR-related applications and certification updates are submitted in a timely manner
Ensure the MRM is updated and maintained through collaboration with the SMCR team, People team and Company Secretariat
Represent Compliance at appropriate working groups and committees to provide second line challenge to the business
Liaise with internal/external stakeholders to build and maintain effective working relationships
Demonstrate effective decision-making
Facilitate the company’s response to key FCA outputs (e.g. Dear CEO letters, Quarterly Platform Data returns etc)
Assist with oversight of regulatory permissions, waivers and new applications
Maintain connectivity and involvement with the Compliance team and with the wider Risk and Compliance department to enable constructive and appropriate liaison with the regulators and industry bodies/associations.
Provide change/project support from a regulatory engagement perspective, where required
Alongside the wider Risk & Compliance teams, demonstrate, promote and help maintain a positive regulatory risk and compliance culture
Support the organisation’s goals and values
Take responsibility in everything you do to deliver good outcomes for our customers
Positively demonstrate the Nucleus Smart, Heart and Courage values and behaviours
Ensure compliance with Code of Conduct at all times.
About you
Good awareness of regulatory matters
Detailed knowledge of PRA and FCA regulations, requirements and expectations
Ability to build and maintain effective working relationships with all levels of staff and senior management
Ability to prioritise and manage a range of complex issues at once
Have a forward-thinking attitude, anticipating problems and challenges for the team and providing practical solutions to address issues in a timely manner
Ability to present strong judgement, analysis and decision-making for the wider team, evaluating and implementing best practice where appropriate
Strong written and verbal communication skills.
A little about us
We are the Nucleus Group Services Limited and we help make retirement more rewarding. Here at Nucleus, people come first - whether it’s our colleagues, or the advisers and customers we support, we know that working in partnership and collaboration leads to the best outcomes. Together, we’ve shaped the platform to how it is today. We work hard, and we celebrate hard too.
Our ambition is to create a platform with a difference, putting the customer centre stage meant tearing up the rule book and starting from scratch. We’ve come a long way since then, but our mission remains just as focused. That’s why our culture, values, and social responsibility are things we keep at the top of our agenda – because we know they matter and have a big impact.
Our culture is one of the many things that sets us apart from the pack. We want to have an environment where our people feel that they can make a real difference, know they’ll be rewarded for their efforts and more importantly, enjoy themselves at work.
Are we a perfect match? Check out this video and find out!
Inclusion and diversity at Nucleus
As with most things in life, who cares, wins. We really care about inclusion.
For us it’s not a tick box exercise; inclusion and diversity are embedded in our culture and everything we do. It’s a commercial imperative. It isn’t about being PC. It’s about being future-relevant and durable. We owe it to ourselves and the industry to ensure we are playing our part in creating a fair, balanced and transparent financial services sector.
More diversity means broader experience, a wider set of perspectives and a better collective ability to problem-solve. And it means being more representative of customer groups, which supports areas such as product development.
At Nucleus, we offer a generous blend of benefits for the things that really matter to our people, including a non-contributory pension, bonus, enhanced parental leave, paid time off for emergencies, health and wellbeing initiatives and flexible working options.
If you’d like to find out more about us or the role, please get in touch with our recruitment team.