Compliance Officer
  £40000 - £50000 per annum
  City of London, Greater London
  permanent,full-time

This Job Has Expired! This advert has now been deleted by the advertiser, the details below are for information only.


COMPLIANCE OFFICER to c£50,000
City of London with flexible WFH
Large Lloyds Broker is seeking to recruit a Compliance Officer.
Duties:
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:
Complaints
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.


Advertiser: Agency

Reference: JO0000008126

Posted on: 2021-07-05 15:42:13

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Compliance Officer
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  City of London, Greater London
  permanent,full-time

This Job Has Expired! This advert has now been deleted by the advertiser, the details below are for information only.


COMPLIANCE OFFICER to c£50,000
City of London with flexible WFH
Large Lloyds Broker is seeking to recruit a Compliance Officer.
Duties:
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:
Complaints
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.


Advertiser: Agency

Reference: JO0000008126

Posted on: 2021-07-05 15:42:13

I want to receive the latest job alerts for:

Insurance jobs in City of London, Greater London

By creating a job alert, you agree to our Terms . You can change your consent settings at any time by unsubscribing or as detailed in our terms.

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