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Head of Compliance Monitoring
3 months ago
Primary Details
Time Type: Full time
- Assist the Compliance Director in the formulation of key objectives and priorities for the Compliance department and prepare the annual compliance monitoring plan .
- Delivery of a plan for the monitoring and assessment of ongoing compliance with regulatory requirements across the business wherever there is EO regulatory exposure.
- Build and maintain strong and effective relationships with key internal and external stakeholders to ensure that monitoring plan delivery meets the business' expectations.
- Undertake all aspects of Monitoring review work, ensuring the plan is delivered within agreed timescales.
- Take lead role in dealing with respective area of Compliance with relevant EO senior management and EMB members and group equivalents.
- Provide compliance management information with appropriate analytic analysis to evidence the monitoring approach to senior management including the preparation of Board and committee reports to ensure management are up to date and are aware of key issues.
- Recognize and assess potential risks to objectives and where appropriate take action to remove or reduce impact or probability of the risk occurring, and report as appropriate and undertake formal risk or control assessments (if relevant).
- Assist in the implementation of relevant Compliance Risk dashboards and other documentation to ensure SII compliance.
- Actively promote and embed a positive compliance culture throughout the business.
- Liaise with other assurance functions (e.g. UGD,IA) to ensure a coordinated approach and minimize duplication.
- Ensure regular communication with peers across QBE, as appropriate to ensure consistency, transfer of knowledge and promotion of best practice.
- Maintain detailed knowledge of UK regulatory requirements, Lloyd's requirements and awareness of other relevant regulatory requirements.
- Co-ordinate responses to any internal audit reviews of the Compliance function to provide accurate audit information.
- Co-ordinate responses to any regulatory risk assessments, visits or information requests, and to provide accurate information.
- Participate on internal working groups and committees as appropriate to ensure regulatory requirements are appropriately considered.
- Develop and coach the team so as to ensure the required standards of performance and support the continuing personal and professional development of all team members increasing their capability and share knowledge and best practice.
- Assist the team members in developing their roles in line with succession plans and help facilitate for them to meet agreed objectives within QBE EO
- Appraise team performance, including performance of team members to assist them in developing their roles through the Me at QBE process.
- Ad hoc project work as required and delivered within time and quality expectations.
- Experience in a senior supervision or policy role within a regulatory authority.
- Management of projects and resources.
- Experience in a senior compliance role within an insurance company.
- Ability to communicate effectively at all levels.
- Represent QBE to external stakeholders.
- Strong written skills, including ability to assess business impacts.
- Project management skills.
- Ability to influence others to obtain information and manage action plans to conclusion in agreed timescales.
- Handle multiple and changing priorities.
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