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Compliance Officer
Ref. JO0000008126

Position Compliance Officer
Sector Audit, Risk and Compliance
Location City of London, City
Type Permanent
Salary £40K - £50K / Annum
Reference JO0000008126
Summary COMPLIANCE OFFICER to c£50,000

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.
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