Legal and Compliance Officer
Compliance Officer City to £90,000
Leading Lloyd's Broker based in the city have a new role for an experienced Compliance Officer.
To manage the legal and regulatory requirements of the company arising from the rules of the FCA/Lloyd's
and other regulators as necessary.
* To oversee the risk and compliance plan to ensure it is managed in accordance with the company
objectives and to provide legal and compliance support, guidance, and advice across the business as needed.
* To develop, monitor and maintain adequate and appropriate systems and controls to ensure that the firm
meets its legal and regulatory requirements in the UK and its international offices and to regularly
monitor and update the systems and controls to ensure that they are performing the function that
* To stay on top of new legal and regulatory changes and challenges and identify and implement changes
to the business strategy and processes as required in response to this.
* To report progress to the Board and Risk Committee on all key issues on a regular basis.
* Secretary to the Risk Committee to drive the Compliance agenda and assess all relevant issues
for the business.
* Produce and keep up to date a compliance manual and compliance calendar to ensure that the group
is meeting its regulatory obligations.
* Represent the company to product providers, auditors, suppliers, self-employed agents, the FCA and
any other bodies in connection with regulatory requirements.
* Adhere to FCA and Lloyd's Principles and ensure other employees do the same.
* To coordinate the group's legal requirements as required and to review legal contracts and
business agreements where needed.
* To oversee the delegated underwriting arrangements as per Lloyd's and FCA requirements.
* Respond to any appropriate documents published by the FCA, UK government, Lloyd's of London Liiba.
* To over-see and manage the Compliance function for our subsidiaries in the UAE and Europe and liaise
with international regulators where appropriate.
* Provide information and solutions to the business on the developments of FCA consultation documents,
draft rules published, thematic reviews and final rules and how they relate to the company business. .
* To be the Group Data Protection Officer and ensure ongoing compliance with the GDPR.
If you have experience in the above from within an Insurance background please reply asap
MW Appointments is acting as an Employment Agency in relation to this vacancy.