Compliance Officer

Emerald Group
London, UK
Competitive Salary
14 Aug 2019
13 Sep 2019
Contract Type
Full time, Permanent

Key Duties (included but not limited to):

  • To assume responsibility for Conduct Risk, providing oversight on all areas relating to the Product Governance & Distribution Framework and production of Conduct Management Information
  • To liaise with the Legal Counsel on matters relating to complaints, ensuring that the Complaints Log is up-to-date and, assist where necessary, with the performance of any investigations
  • To assist with the completion and submission of Lloyd’s and regulatory returns (e g annual completion of Trust Deed documentation, broker remuneration, NAIC IID, Syndicate Business Forecast returns, RMARs etc) as necessary
  • As required, assist with the completion of Lloyd’s minimum standards for Compliance owned areas
  • Provide co-ordination support for regulatory risk assessments and requests for information, thematic reviews and internal audits
  • To assist in providing supervision and review of reports and documentation produced and issued by the Compliance function. Monitor appropriateness of Compliance-related databases, suggesting enhancements where necessary
  • Assist with the screening programme for sanctions as required and ensure that all alerts raised by system controls are resolved within the target timeframe
  • To work alongside HR and establish, co-ordinate and provide a multi-faceted educational and compliance training program
  • Production of/input to Compliance Reports and provision of management information for reporting to various committees, as required
  • To liaise with all business functions as appropriate and respond to compliance queries comprehensively and in a timely manner

Experience required:

  • Experience within the London insurance market required
  • Strong analytical and written skills
  • Previous management experience
  • Ability to confidently communicate with the business
  • Experience in working independently without supervision
  • Ability to assimilate and interpret information with accuracy
  • Competent in use of Microsoft Office
  • Strong in due diligence and investigative skills

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