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Compliance Assistant

  • Location: Southend-On-Sea
  • Category: Audit, Risk and Compliance
  • Salary: £18K - £25K / Annum
  • Reference: JO0000006928

COMPLIANCE ASSISTANT £18-25,000 An established Lloyd’s broker based in the City and Southend is currently looking to recruit a Compliance Assistant to join their successful team in Southend. This is a well-respected Lloyd’s insurance broker that prides themselves on the service they produce. Suitable candidates for the position will have gained experience working in an administrative support role within Insurance and Lloyd’s market 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. Assisting in the companies compliance duties which include: ·Reviewing and submitting new clients and insurers for Directors 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 and Breach Registers ·Assisting preparing and implementing staff training programs ·Helping Compliance department with all ad hoc duties ·Help to develop and create internal policies/procedures. ·Ensure compliance requirements are adhered to. ·Monitor and communicate new regulatory developments and legislation that affect the business and operation of the company and update department’s working papers as necessary. ·Monitor financial promotions. ·Dealing with incoming and outgoing post, faxes & emails ·Assisting Compliance department with ongoing projects ·Providing administrative support to Compliance department as and when is needed ·Conducting files checks in London and reporting back to Management ·Assisting preparing and implementing staff training programs Person Specification This is a pivotal position within the company and therefore demands a responsible attitude. The ideal candidate will need to have strong computer skills. Good communicational and organisational skills are also essential. Other desirable skills are: • Advanced knowledge of Microsoft products (Word, Excel and Outlook) or similar software applications. • Ability to manage time, prioritise and ensure that deadlines are met without compromising quality. • Ability to understand and execute oral and written instructions. • Ability to communicate effectively and professionally both verbally and in writing with clients, insurers and other associates. Desirable Qualifications Professional qualifications either gained or working towards would be advantageous. These may include CII Insurance Exams or other qualifications. Education You must have at least 5 GCSE’s including English and Math’s at Grade B or above. Our client is committed to continuous professional education and will offer study support

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Compliance Officer/Head of Compliance

  • Location: City of London
  • Category: Audit, Risk and Compliance
  • Salary: £70K - £100K / Annum
  • Reference: JO0000006924

COMPLIANCE OFFICER c£90,000 An established Lloyd’s broker based in the City and Southend is currently looking to recruit a Compliance Officer 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 good knowledge of the FCA and insurance compliance and will have gained several years experience in a similar role. You will need to be able to cope with a busy work environment dealing with varied tasks throughout the day. Reporting directly to Directors you will be responsible for the following duties: 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. Reviewing and submitting new clients and insurers for Directors approval , Implementing and monitoring compliance procedures. 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 Assisting preparing and implementing staff training programs Helping Directors with all ad hoc duties – these include preparing information for the company’s internet and intranet sites, preparing letters and documentation for clients Assisting preparing and implementing staff training programs Take on relevant Controlled Functions This is a pivotal position within the company and therefore demands a responsible attitude. The ideal candidate will need to have strong computer skills. Good communicational and organisational skills are also essential. Other desirable skills are: Advanced knowledge of Microsoft products (Word, Excel and Outlook) or similar software applications. Ability to manage time, prioritise and ensure that deadlines are met without compromising quality. Ability to understand and execute oral and written instructions. Ability to communicate effectively and professionally both verbally and in writing with clients, insurers and other associates.

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Complaints Executive (Insurance)

  • Location: Chelmsford
  • Category: Audit, Risk and Compliance
  • Salary: £30K - £40K / Annum
  • Reference: JO0000006847

Complaints Executive (Insurance) Chelmsford, Essex Salary: £40,000 + benefits package Permanent Our client is a pre-eminent global insurance group, including a Lloyds syndicate platform. REF : 6847

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Compliance Manager

  • Location: City of London
  • Category: Audit, Risk and Compliance
  • Salary: £50K - £70K / Annum
  • Reference: JO0000006852

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. Experience: ·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 Training ·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

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