Compliance Monitoring Manager
3 weeks ago
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. 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
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
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
Reviewing and approving all non-real time financial promotions and published recommendations prior to their issue by, or in the name of, the business
Undertaking and advising on compliance oversight on product changes
Work collaboratively across the business including but not limited to – Sales, Marketing, IT and Finance
Lead the compliance team ensuring resources are appropriately managed and deployed
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.
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Compliance Monitoring Manager
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Compliance Monitoring Manager
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Senior Compliance Manager
1 month ago
London, United Kingdom Compliance Professionals Full timeOur client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. THE RESPONSIBILITIES: Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact...
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Compliance Monitoring Manager
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London, United Kingdom CFC Full timeCompliance Monitoring Manager Department: Compliance & Risk Employment Type: Permanent - Full Time Location: London Reporting To: Jacqueline Sinclair Description Are you an experienced Insurance Compliance professional looking for an exciting new challenge, where you can have your ideas heard and ultimately influence shaping the compliance...
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13 hours ago
London, United Kingdom Bruin Full timeJoin a Leading Private Bank as a Compliance Monitoring Officer! Ready to apply Before you do, make sure to read all the details pertaining to this job in the description below.FRENCH OR GERMAN LANGUAGE SKILLS REQUIREDAbout the Firm: Join a leading private bank in the wealth management sector committed to serving clients and their families with personalized...
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Compliance Monitoring
2 days ago
London, United Kingdom Bruin Full timeJoin a Leading Private Bank as a Compliance Monitoring Officer! FRENCH OR GERMAN LANGUAGE SKILLS REQUIREDAbout the Firm: Join a leading private bank in the wealth management sector committed to serving clients and their families with personalized services. They are searching for a Compliance Monitoring Officer to work in either their London or Manchester...
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Compliance Monitoring
1 day ago
London, United Kingdom Bruin Full timeJob Description Join a Leading Private Bank as a Compliance Monitoring Officer! FRENCH OR GERMAN LANGUAGE SKILLS REQUIRED About the Firm: Join a leading private bank in the wealth management sector committed to serving clients and their families with personalized services. They are searching for a Compliance Monitoring Officer to work in either their...
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Compliance Manager
1 month ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: We are working exclusively with an International Wholesale Bank located in the City of London, who are looking for a Compliance Manager to join the team. THE RESPONSIBILITIES: Report to the Chief Compliance Officer, covering all aspects of compliance, specialising in customer due diligence and anti-money laundering. Review due...
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London, United Kingdom Compliance Professionals Full time**THE COMPANY**: Our client is an international bank based in the City. The firm offers comprehensive financial solutions, ensuring excellent service, reliable banking, and trusted expertise for customers **THE RESPONSIBILITIES**: - Performing Compliance Risk Assessments - Second line oversight of the Bank’s compliance with the applicable law,...
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Compliance Manager
3 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE 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...
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Compliance Monitoring Manager
1 day ago
London, United Kingdom CFC Full timeCompliance Monitoring Manager Are you an experienced Insurance Compliance professional looking for an exciting new challenge, where you can have your ideas heard and ultimately influence shaping the compliance framework of our incredible business? CFC is a specialist insurance provider and a pioneer in emerging risk. We have a track record of...
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Compliance Monitoring
2 days ago
London Area, United Kingdom Bruin Full timeJoin a Leading Private Bank as a Compliance Monitoring Officer! FRENCH OR GERMAN LANGUAGE SKILLS REQUIREDAbout the Firm: Join a leading private bank in the wealth management sector committed to serving clients and their families with personalized services. They are searching for a Compliance Monitoring Officer to work in either their London or Manchester...
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Compliance Monitoring
1 day ago
London Area, United Kingdom Bruin Full timeJoin a Leading Private Bank as a Compliance Monitoring Officer! FRENCH OR GERMAN LANGUAGE SKILLS REQUIRED About the Firm: Join a leading private bank in the wealth management sector committed to serving clients and their families with personalized services. They are searching for a Compliance Monitoring Officer to work in either their London or...
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Compliance Monitoring Manager
4 weeks ago
London, United Kingdom MERJE Ltd Full timeA newly created role working for this global provider of specialty insurance and reinsurance products. The Company currently writes lines of business including; specialty insurance: aviation & aerospace, energy, marine, property, credit & political risk, and other specialty; reinsurance: property reinsurance, property retrocession, specialty...
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Compliance Monitoring
2 weeks ago
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Senior Compliance Associate
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