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Compliance Officer/Analyst

  • Location: Southend-On-Sea
  • Category: Audit, Risk and Compliance
  • Salary: £30K - £40K / Annum
  • Reference: JO0000007939

Insurance – Compliance Officer/Analyst Salary: up to £40,000 Permanent Southend based Organisation Description An established Lloyd’s broker based in the City and Southend is currently looking to recruit an Assistant to the Head of Risk & Compliance to join their successful team. Job Description Overview Suitable candidates for the position will already have a working knowledge of the FCA and insurance compliance and will have gained experience working in an administrative support role (within Insurance) and will be looking for a new challenge within a small and respected Lloyd’s broker. Reporting directly to Head of Risk & Compliance you will be responsible for the following duties: Conduct Compliance monitoring and audits of the significant business processes to provide the business with assurance on FCA regulated business areas. Ensure compliance requirements are adhered to. Monitor, analyse and communicate new regulatory developments and legislation that affect the business and operation of the company and update department’s working papers as necessary. Provide guidance/sign off on financial promotions. Understand and implement oversight and audit requirements in accordance with SYSC rules. Develop and lead the Compliance Plan as agreed by the Board. Embed and communicate Lloyd’s requirements as appropriate. To support and assist the AML Officer as required. Lead projects and develop plans for implementation. Help to develop and create internal policies/procedures. Manage the breach register and evidence ‘end to end’ resolutions. Assist the Board of Directors to identify, manage and mitigate risks. Liaise with the regulators (i.e FCA) or Lloyds in regards to queries or issues. Monitor FCA / Lloyd's publications and evidence action taken or lessons learned or review completed. Facilitating Insurer and client audits or reviews (i.e. Lloyd’s Binders etc). Collate data and complete filing of various returns to Lloyd's and the FCA as required. Attend external training events to enhance own knowledge and/or to assist with future legal/regulatory changes, reporting back to the Board and/or staff as appropriate. Reviewing and submitting new clients and insurers for 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 Register Assisting preparing and implementing staff training programs Helping with all ad hoc duties - General office duties such as answering the telephone, scanning & filing. Dealing with incoming and outgoing post, faxes & emails Assisting ongoing projects Conducting files checks in London and reporting back to Management Assisting preparing and implementing staff training programs Person Specification Strong computer skills. Good communicational and organisational skills are also essential. 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 AML/Compliance Qualifications (ICA) 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 when required. REF 7939

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Compliance Officer

  • Location: City of London
  • Category: Audit, Risk and Compliance
  • Salary: £50K - £60K / Annum
  • Reference: JO0000007898

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

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Compliance Assistant

  • Location: Southend-On-Sea
  • Category: Audit, Risk and Compliance
  • Salary: £45K / Annum
  • Reference: JO0000007822

COMPLIANCE ASSISTANT £45,000 An established Lloyd’s broker based in the City and Southend is currently looking to recruit an Assistant to the Head of Risk & Compliance 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 working knowledge of the FCA and insurance compliance and will have gained experience working in an administrative support role (ideally within Insurance) 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. Reporting directly to Head of Risk & Compliance you will be responsible for the following duties: Assisting in the companies compliance duties which include, for example: Conduct Compliance monitoring and audits of the significant business processes to provide the business with assurance on FCA regulated business areas. Ensure compliance requirements are adhered to. 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. Provide guidance/sign off on financial promotions. Understand and implement oversight and audit requirements in accordance with SYSC rules. Develop and lead the Compliance Plan as agreed by the Board. Embed and communicate Lloyd’s requirements as appropriate. To support and assist the AML Officer as required. Lead projects and develop plans for implementation. Help to develop and create internal policies/procedures. Manage the breach register and evidence ‘end to end’ resolutions. Assist the Board of Directors to identify, manage and mitigate risks. Liaise with the regulators (i.e FCA) or Lloyds in regards to queries or issues. Monitor FCA / Lloyd's publications and evidence action taken or lessons learned or review completed. Facilitating Insurer and client audits or reviews (i.e. Lloyd’s Binders etc). Collate data and complete filing of various returns to Lloyd's and the FCA as required. Attend external training events to enhance own knowledge and/or to assist with future legal/regulatory changes, reporting back to the Board and/or staff as appropriate. Reviewing and submitting new clients and insurers for 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 Register Assisting preparing and implementing staff training programs Helping with all ad hoc duties - General office duties such as answering the telephone, scanning & filing. Dealing with incoming and outgoing post, faxes & emails Assisting ongoing projects Conducting files checks in London and reporting back to Management Assisting preparing and implementing staff training programs

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Senior Compliance Officer - to £90,000

  • Location: City of London
  • Category: Audit, Risk and Compliance
  • Salary: £70K - £90K / Annum
  • Reference: JO0000007730

Senior Compliance Officer -- To £90,000 Our client is a well-established and progressive insurance company based in the City of London, with a branch office in the north of England and in Europe. ∑Ensure that all new and amended PRA and FCA requirements are identified, interpreted, assessed for impact and communicated accordingly to those who need to act upon ∑Provide 2nd Line of Defence support, advice and guidance REF~ 7730

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