Register your CV

Register your CV

Our Candidate Charter

Our Candidate Charter

Register a Vacancy

Register a Vacancy

Interview Tips for Candidates

Interview Tips for Candidates

Back to Jobs

Compliance Officer
Ref. JO0000007898

Position Compliance Officer
Sector Audit, Risk and Compliance
Location City of London, City
Type Permanent
Salary £50K - £60K / Annum
Reference JO0000007898
Summary Deputy Compliance Manager

Salary to £ 60,000

City based office - Flexible WFH

Permanent Contract



Responsibilities Overview:



Regulatory/FSA Specific Matters

* Help in identification of forthcoming regulatory changes that will impact and provide appropriate notification to all key stakeholders in a timely manner.

* Ensure that all key stakeholders are kept abreast of all key relevant FSA initiatives, updates, enforcement actions etc.

* Prepare and submit regulatory filings and other documents on a timely basis to regulators, after review and approval by the Head of Compliance and Risk (e.g. FSA RMAR returns, Approved Persons Forms, Appointed Representatives Forms, Annual Registrations, Change of Controllers, etc.).



Business/Culture Support and Advisory

* Attend where necessary business and governance meetings.

* Identify and share professional and regulatory risks to the business and work with the business to enhance controls as appropriate.

* Promote an open line of communication between Compliance and the business to provide the business with updates on current Compliance initiatives and projects and visa versa.



Annual Planning Process

* Contribute to development of annual Compliance plan.



Policies and Procedure

* Provide support in the creation, maintenance and communication of central compliance standards, policies and procedures.



Training and Communications

* Provide regular regulatory updates to the Compliance team/Busines and develop/post communications in collaboration with the Marketing team.

* Develop in collaboration with team colleagues tools, checklists and other processes to help embed compliance-related requirements into the day-to-day activities of client-facing and functional colleagues.



Liaison between Compliance and Risk

* To collaborate with Risk on projects of mutual interest/benefit and to enhance the effectiveness of the Compliance Department.

* Identify and share professional and regulatory risks to enhance controls as appropriate.



Liaison between Internal Audit

* To collaborate with Internal Audit on projects of mutual interest/benefit and to enhance the effectiveness of the Compliance Department.



Routine legal documents

* To assist in the negotiation and agreement of routine legal documents such as NDA's, BLOU, MTBA and insurer TOBAs and provide advice on legal disputes



Candiate Profile:

* Experience operating in the Compliance department of a Insurance intermediary in the UK

* Experience and understanding of Lloyds and London Insurance Market

* Proven track record of dealing effectively with business colleagues at senior management level

* Strong, demonstrable broad and deep knowledge of legislation and regulation applicable to the company

* Broad and deep knowledge and use of the FSA Handbook - Principles, Rules and Guidelines etc.

* Ability to interpret the FSA Handbook

* General insurance industry understanding including insurance principles, products and services



REF 7898

MW Appointments is acting as an Employment Agency in relation to this vacancy.
  Add this Vacancy to your Shortlist
?

We will use your email address to send this vacancy information only. We will not pass this on to any 3rd parties, in accordance with our PRIVACY NOTICE

Apply for this Vacancy

Fields marked * are mandatory

Essential Details

?

We will use your email address to contact you regarding your application and suitable vacancies. We will not pass this on to any 3rd parties, in accordance with our PRIVACY NOTICE

?

We will use your mobile number to contact you regarding your application and suitable vacancies. We will not pass this on to any 3rd parties, in accordance with our PRIVACY NOTICE

Please fill in at least one CV field

Choose from Dropbox

You have successfully upload your file

Additional Information to Speed Up Your Application

We take your privacy very seriously, click here to view our Privacy Notice.

Back to Jobs

The city office has moved

You can find us at

Map to our new office location

Irongate House, 22 - 30 Dukes Place, London EC3A 7LP