The control, accuracy and governance processes around industry regulations are of the highest importance to Fidelity. The HR Regulatory Operations Manager will work with relevant functional teams within HR, HR Business Partners and relevant cross functional specialist regulatory teams to ensure compliance with Senior Manager & Certification Regime regulations on an ongoing basis. A key part of the role will be to embed the SM&CR regulations into daily culture and to work with the relevant teams to drive forward improvement initiatives in an efficient and effective manner.
Title: HR Regulatory Operations Manager (12 month FTC)
Department: Human Resources
Location: Oakhill, Tonbridge, Kent
Reports To: Associate Director, HR Regulatory Operations
The Human Resources department supports the business to ensure the effective management and development of the talent in our organisation. It involves having oversight of all aspects of human capital management, which includes a number of centres of expertise working together collaboratively - talent acquisition, talent management and development, compensation and benefits, employee relations and organisation development. HR is responsible for ensuring the governance of people issues and policies are framed in accordance with legal and regulatory global standards. HR is also the custodian of employee data globally.
- Become Subject Matter Expert for the day to day management of SM&CR processes within HR.
- Managing and supporting SM&CR relationships and regulatory adherence
- Ongoing maintenance of Statements of Responsibility and Management Responsibility Maps across each entity.
- Ongoing maintenance of supporting documentation templates, policies and frameworks with a minimum of annual review, managing changes via change control.
- Work with relevant HR functional teams to ensure that SM&CR record keeping is maintained in an effective and time critical manner.
- Maintain an accurate SM&CR population list in line with the FCA register and directory, submitting necessary forms via FCA systems.
- Work closely with Compliance to assess reporting of conduct breaches updating FCA records where appropriate
- Provide support with DSAR requests and regulatory references in line with SM&CR regulations
- Provide regular accurate reporting to the Chief People Office Leadership Team (CPOLT) and SMCR Governance Forum
- Develop and maintain training material for delivery to senior managers and certified persons upon joining and annually
- Provide summarised training content to HR Business Partners to provide context and awareness for ongoing support to senior managers and certified persons.
- Help to establish robust processes and implement a technology platform to administer the SMCR regulations.
- Once established, to own and manage an SM&CR support system, administering access and permission requests/revocation
- Keep abreast of developments in regulation, conducting impact assessments and recommendations for changes and improvements
Experience and Qualifications Required
- Experience in a Regulatory or Compliance function is critical
- Strong understanding of HR records management is desirable
- Background in Financial Services with good awareness of regulatory requirements
- Strong analytical skills and attention to detail
- Ability to communicate & influence effectively verbally and in writing across all levels as required
- Proven ability to make sound judgement calls particularly relating to issues requiring escalation
- Ability to produce strong business cases to influence and support functional requirements
- Self-motivated and positive approach to deliver high quality work and meet deadlines
- Proactive approach to seeking information and identify solutions
- Excellent time management skills with the ability to work under pressure
- Ability to work with a high degree of autonomy, but equally comfortable working as part of a team
- Project management and strong communication skills essential