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Compliance Officer

City of London with flexible WFH
Large Lloyds Broker is seeking to recruit a Compliance Officer.
Support the Head of Risk and Compliance to deliver the functions key objectives.
Provide the business support to understand and adopt regulatory change requirements, provide advice, guidance and challenge in the application of regulatory requirements.
Oversee and control recording and monitoring of:
Conflicts of Interest
TCF and Conduct Risk
Gifts and Hospitality
Financial Promotions
Horizon Scanning
Errors & Omissions
Risk Events and Breaches
Support the business in the review of Non-Disclosure Agreements, Service Level Agreements or other legal agreements.
Support the Financial Crime lead on Sanctions referrals and ad hoc Sanctions queries.
Take a lead role in supporting the business in reviewing and recording of Terms of Business Agreements.
Manage and prepare regulatory submissions.
Assist the Overseas Office lead to manage, prepare and monitor overseas licensing application and submissions.
Support the Compliance Manager to ensure the firm has appropriate second line oversight of business practices/processes that are intended to ensure our operations are compliant at all levels.
Support the function in liaising with Group Internal Audit, Group Compliance Monitoring and External Auditors to provide relevant requested information and manage any resulting actions points identified by reviews undertaken.
Assist the Risk and Compliance Director with the provision of information and updates to be included within Board packs and/or discussion papers and support the function for Group committees as required.
Assist the function in ensuring the policies and procedures are reviewed and updated at least annually.
Assisting the Risk and Compliance Director in Group regulatory change projects as and when required, including annual reviews of integrated regulatory change.
Specialised Knowledge - Current and actively maintained knowledge of the regulatory environment. Working knowledge of the FCA handbook.
Skills - Microsoft Office package to an intermediate level.
Professional Certification - Compliance or Risk Management or Chartered Insurance Institute preferred.
Experience: At least 2 years experience in an Insurance Risk and Compliance field. Experience of managing projects, particularly in the area of risk, compliance and governance preferred.
High level of knowledge of working in a regulated environment.
Strong organisational skills and attention to detail.
Strong written and oral communication skills.
Initiative, proactive, enquiring approach, resourceful.
Adaptability, ability to embrace and respond positively to change.
Analytical and investigative skills, logical reasoning and problem-solving skills - individually and collaboratively.
Ability to work under pressure.
Ability to quickly learn and work with new processes and systems.
Ability to train others on concepts, systems and processes.
Ref 8126

MW Appointments is acting as an Employment Agency in relation to this vacancy.

Compliance Officer

London, UK
Full time
General Insurance

Published on 07/05/2021

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