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Compliance Assistant
Ref. JO0000007822

Position Compliance Assistant
Sector Audit, Risk and Compliance
Location Southend-On-Sea, Essex
Type Permanent
Salary £45K / Annum
Reference JO0000007822
Summary COMPLIANCE ASSISTANT £45,000

An established Lloyd's broker based in the City and Southend is currently looking to recruit an Assistant to the Head of Risk & Compliance to join their successful team. This is a well-respected Lloyd's insurance broker that prides themselves on the service they produce. Suitable candidates for the position will already have a working knowledge of the FCA and insurance compliance and will have gained experience working in an administrative support role (ideally within Insurance) and will be looking for a new challenge within a small and respected Lloyd's broker.

You will need to be able to cope with a busy work environment dealing with varied tasks throughout the day.

Reporting directly to Head of Risk & Compliance you will be responsible for the following duties:

Assisting in the companies compliance duties which include, for example:

Conduct Compliance monitoring and audits of the significant business processes to provide the business with assurance on FCA regulated business areas.

Ensure compliance requirements are adhered to.

Monitor, analyze and communicate new regulatory developments and legislation that affect the business and operation of the company and update department's working papers as necessary.

Provide guidance/sign off on financial promotions.

Understand and implement oversight and audit requirements in accordance with SYSC rules.

Develop and lead the Compliance Plan as agreed by the Board.

Embed and communicate Lloyd's requirements as appropriate.

To support and assist the AML Officer as required.

Lead projects and develop plans for implementation.

Help to develop and create internal policies/procedures.

Manage the breach register and evidence 'end to end' resolutions.

Assist the Board of Directors to identify, manage and mitigate risks.

Liaise with the regulators (i.e FCA) or Lloyds in regards to queries or issues.

Monitor FCA / Lloyd's publications and evidence action taken or lessons learned or review completed.

Facilitating Insurer and client audits or reviews (i.e. Lloyd's Binders etc).

Collate data and complete filing of various returns to Lloyd's and the FCA as required.

Attend external training events to enhance own knowledge and/or to assist with future legal/regulatory changes, reporting back to the Board and/or staff as appropriate.

Reviewing and submitting new clients and insurers for approval

Preparing the necessary paperwork for approval, conducting sanctions checks & contacting clients and brokers as necessary to obtain outstanding documentation

Keeping the companies clients & insurers lists up to date

Reviewing all company procedures & ensuring that these are FCA compliant

Conducting files checks in both Southend & London and reporting back to Management

Updating the Gift & Expenses Register

Assisting preparing and implementing staff training programs

Helping with all ad hoc duties - General office duties such as answering the telephone, scanning & filing.

Dealing with incoming and outgoing post, faxes & emails

Assisting ongoing projects

Conducting files checks in London and reporting back to Management

Assisting preparing and implementing staff training programs

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