Compliance Manager

2 weeks ago

London, United Kingdom Eames Consulting Full time

Leading global speciality insurer is seeking an experienced Compliance Manager to manage their KYC/CDD framework and process and a small team.

**Key Responsibilities**:

- To review and develop the Broker Oversight Framework adopting a best practice, consistent and collaborative approach across the Companies.
- To ensure that those ToBAs issued to brokers for sign-off are up-to-date, taking into account all applicable regulatory and legislative requirements.
- To produce the broker section of the Third-Party training module and ensure the delivery of guidance and training to the business / internal stakeholders in the Companies, as required.
- To oversee and produce the broker sections of the annual Compliance Plan and ensure proposed projects / tasks are completed as scheduled.
- To manage the circulation of market updates and guidance, as necessary, to business units within the Companies on compliance with regulatory, general market and Lloyd's requirements relating to brokers.
- To oversee the management of brokers by the Companies' European entity, assisting with queries, as necessary.
- To manage the agreements with external service providers that support the broker review process, ensuring these contracts are managed on a regular basis and renewed as required
- To manage and oversee the review and approval of brokers in line with theCompanies' Intermediary Vetting Procedures, which includes:

- Due diligence review and approval of new brokers;
- Issuance of signed terms of business agreements ('ToBA'):

- General ToBA queries; and
- Monitoring of brokers to ensure that the appropriate level of due diligence review has been performed based on the income produced.
- To oversee the review of sub-brokers for any cascading risk transfer requests received from third parties.
- To review and facilitate the responses for any Brexit-related or other broker-related queries
- To oversee the maintenance of the Customer Relationship Management ('CRM') system, housing a central database for all third parties.
- To manage and enhance the monthly dun & bradstreet (d&b) checks via CRM on all existing brokers.
- To develop the CRM system so that it becomes a more effective third-party oversight system and assist with the ongoing, historic changes required to CRM.
- To oversee the cleansing of the broker data migrated over from historic systems and subsequently ensure that updated ToBAs are issued to all cleansed brokers.
- To manage and develop the broker reports produced for various Committees including the Product Governance & Distribution Committee.
- To manage the completion of regulatory and Lloyd's returns and / or requests, as required.
- To manage, mentor and train two members of the Broker Team within the Compliance Department and liaise / collaborate with peers within our European office as required.
- To build and maintain strong relationships with the Compliance Department and all business units.
- To provide co-ordination support for internal audit reviews, where required.
- To complete ad hoc tasks as requested by the Senior Compliance Officer.

**Skills and Experience Specification**:

- 5 years' experience within a Compliance Department, with technical knowledge of the broker market.
- Previous managerial experience.
- Experience within the Insurance and Lloyd's Market.
- Computer literate with knowledge of Microsoft Office products, i.e. Word and Excel.
- Strong organisational and workload management skills.
- Strong analytical and written skills.
- Attention to detail; due diligence and investigative skills.
- Ability to communicate effectively with individuals at all levels of the business in a confident and professional manner.
- Hard working, diligent and a quick learner.

Eames Consulting is acting as an Employment Agency in relation to this vacancy.

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