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Compliance Manager
Ref. JO0000006852

Position Compliance Manager
Sector Audit, Risk and Compliance
Location City of London, City
Type Permanent
Salary £50K - £70K / Annum
Reference JO0000006852
Summary COMPLIANCE MANAGER - to £70,000

To assist the Head of Risk and Compliance with the maintenance and development of the risk management and compliance framework in all areas. To provide guidance, support and advice to the business on compliance and risk matters in support of business objectives, best practice and high level of ethics and integrity.


·At least 5 years experience within a compliance and risk environment

·Preferred market experience with a Broker, Underwriter or Bureaux

·Preferred experience in a role that requires accuracy and attention to detail

·Lloyd's and London Market Introductory Test, CII or Compliance Diploma

Key Responsibilities:

Compliance Management

·Work with the business to develop an appropriate compliance framework to facilitate the business in identifying, assessing and managing compliance risk within the business

·Assist in ensuring that all statutory and regulatory rules are met

·Identify, recommend and assist in the implementation of changes to systems, controls, procedures and processes in response to regulatory rule and legislation changes in so far as these affect each area within the business

·Monitor regulatory publications and any impending changes to regulation

·Act as a trusted advisor and subject matter expert to advise, support, improve and guide the business on compliance matters such as the interpretation of applicable FCA, Lloyd's and overseas regulations

·Assist in the production and monitoring of the annual compliance plan and ensure deadlines therein are met

·Assist in production of monthly management information and the compliance & risk report for the Board/Executive Committee

·Assist with regulatory transactions such as FCA approved person applications and regulatory reporting

·Undertake the review and approval of financial promotions/marketing materials

·Oversee the complaints and breach reporting framework

Financial Crime Prevention

·Prepare applications for the approval of new third party producers for submission to senior management for sign off

·Carry out annual reviews for all types of third party producers and review and issue third party agreement wordings if necessary

·Assist in reviewing and developing policies and procedures for anti-bribery & corruption, anti-money laundering, counter terrorist financing, sanctions, fraud and anti-tax evasion

Security & Counter-Party

·Review security and counter-party agreements such as agency agreements, client terms of business agreement, insurers' terms of business agreements


·Monitor compliance with the FCA training and competence requirements

·Carry out compliance and risk inductions for all new joiners

Policies and Procedures

·Maintain, update and develop the Best Practice Manual in liaison with the Technical Committee

Compliance Monitoring Reviews

Risk Management Framework

·Assist in the maintenance, update and development of the Risk Management Framework

Ref 6852

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