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Compliance Monitoring Officer

2 months ago

London Area, United Kingdom Lutine Bell Full time

Lutine Bell are currently supporting the Head of Compliance Monitoring of a Global Insurance Broker to appoint a Compliance Monitoring Officer into the growing team.


The role will assist the business to identify, assess and govern compliance risk through the compliance monitoring program. This will be both in the UK and overseas offices.


Responsibilities:


  • Monitor, review and report on adherence by the business to the policies, procedures and systems and controls in place to ensure regulatory compliance, including file reviews, business unit reviews, and thematic reviews.
  • Support the Head of Compliance Monitoring, maintaining a compliance monitoring framework and annual plan that mitigates regulatory risks and meets the requirements of the business.
  • Build and maintain effective working relationships with internal and external stakeholders.


Experience:


  • Thorough understanding of the FCA's Sourcebooks as applying to Insurance Intermediaries.
  • Compliance experience from within the Insurance markets.
  • Experience in presenting and discussing information in a logical, professional and objective manner, and managing discussions to effectively build consensus and drive actions.