Senior Compliance Manager

London, UK
23 May 2019
27 May 2019
Contract Type
Level of qualification
A unique, specialist, Lloyd's wholesale and retail broker is looking to recruit a Head of Compliance to join their successful team based in London. The Head of Compliance is responsible for supporting the Compliance Director in ensuring the business complies with all relevant regulatory principals and requirements. Including, monitoring all aspects of the firm's regulatory obligations, reporting to the Compliance Director on the status of compliance within the firm, non-compliance or notifiable breaches. Ensuring all employees are aware of their compliance obligations and providing all compliance training. Key

Keeping up-to-date with regulatory developments Supporting the Compliance Director in advising senior management in a timely manner about FCA related issues and other regulatory issues Co-ordinating and producing the firm's Annual compliance plan for approval by the Compliance Director and submission to senior management Ensuring that all relevant appointees are registered as Approved Persons by the FCA before commencing duties Ensuring that the Board's risk based approach to compliance monitoring is implemented across the business Ensuring that the firm has a conduct risk policy Ensuring that the firm has an adequate training and competence plan and that the plan is audited on a regular basis to ensure it remains fit for purpose and appropriately implemented Experience required You will have strong insurance experience, preferably from a broking background. You will be required to have detailed knowledge of the FCA's rules and the firms business as well as the ability to support and influence colleagues in relation to their direct compliance responsibilities. You will be solution focused, self-motivated, enthusiastic. A team player with the ability to work on own initiative. Please apply for further information.