Interview Tips for Candidates

Interview Tips for Candidates

Register your CV

Register your CV

Register a Vacancy

Register a Vacancy

Our Candidate Charter

Our Candidate Charter

Back to Jobs

Legal and Compliance Officer
Ref. JO0000008217

Position Legal and Compliance Officer
Sector Audit, Risk and Compliance
Location City of London, City
Type Permanent
Salary £60K - £90K / Annum
Reference JO0000008217
Summary 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



they should.



* 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.
  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

375673BEB

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