Compliance Manager

3 weeks ago

London, United Kingdom Compliance Professionals Full time

THE COMPANY: Our client is a specialist insurance company. They are looking to hire a Compliance Manager on a permanent basis, the role is able to be carried out remotely. THE RESPONSIBILITIES:

  • Being the SMF16, ensuring that the business is compliant in all dealings with our customers and meeting our regulatory requirements
  • Regulatory compliance management within the business; coordinating and developing the compliance monitoring calendar and internal deliverables across the regulated business
  • Designing and maintaining the Compliance Monitoring Programme (CMP)
  • Monitoring, and recording the results of the CMP and that we comply with FCA Rules
  • Ensuring the business complies with FPCOB permissions and any future permissions that may be commercially appropriate
  • Submitting Regulatory Returns, including Quarterly and/or Annual Financial Returns and other reports to FCA, within the prescribed deadlines, and the gathering of internal information in response to regulatory requests
  • Ensure that appropriate management information (MI) is available to enable the board to exercise appropriate regulatory controls of the business
  • Managing the relationship with the FCA effectively, handling FCA related compliance queries
  • Recommending and initiating changes to systems, controls and procedures in response to FCA Rule changes, so far as they affect us
  • Reading, and understanding the implications of, FCA Consultation Documents, Policy Notices, Notices of Disciplinary Action, Regulatory Updates and other publications etc
  • Designing and maintaining the Compliance Policies and Procedures Manual ensuring that it is up-to-date at all times
  • Ensure the firm has adequate leading and lagging indicators of fair treatment of customers which are measured, monitored and reviewed regularly
  • Perform risk assessments to understand risk level, significance and scope, where appropriate making recommendations
  • Organising the meetings and the reporting to the Internal Compliance Committee (ICC)
  • Contribute to robust and effective compliance controls within the business
  • Obtaining pre-approval from FCA for clearance events and making pre- and post- notifications to FCA of notification events, within the prescribed deadlines and in the prescribed manner
  • Reviewing and approving all non-real time financial promotions and published recommendations prior to their issue by, or in the name of, the business
  • Ensure Consumer Duty regulations are understood and implemented
  • Undertaking and advising on compliance oversight on product changes
  • Work collaboratively across the business including but not limited to – Sales, Marketing, IT and Finance
  • Continually look to enhance processes and systems for effectiveness and efficiency
  • Lead the compliance team ensuring resources are appropriately managed and deployed
EXPERIENCE REQUIRED:
  • A minimum of 5 years’ experience working as a Compliance Officer in a regulatory compliance function
  • A minimum of 2 years experience as an SMF16 in a consumer facing business
  • High level of IT skills to include Microsoft Excel and Word.
  • Committed to the provision of excellent service with excellent organisational skills
  • Good numeric and literacy skills
For further information please contact Duncan Jeffery #J-18808-Ljbffr

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