Conduct Risk and Controls Lead

2 weeks ago

London, United Kingdom ASCOT GROUP Full time

**Job Purpose**:
To establish, test and maintain conduct risk controls allowing effective and efficient delivery of the conduct risk framework at Ascot.

A key aspect of this role is building and maintaining effective relationships within the underwriting teams to ensure ongoing engagement.

**Detailed Duties**:

- Support Conduct Risk Manager in driving forward good conduct for the business to deliver the best outcomes for customers/policyholders.
- Work closely with key functions, such as Delegated Authorities, Audit, Underwriting, Claims and Complaints teams to help develop and deliver best in class control framework.
- Enhance, monitor, and regularly review conduct risk KPIs and thresholds to ensure they remain fit for purpose.
- Help refine and streamline processes and procedures such that the Conduct Risk function can continue to support the business in an efficient and effective manner.
- Responsible for management and enhancements of the annual Fair Value Assessment process.
- Oversee the syndicate’s process for providing accurate and timely reporting to Lloyd’s on matters relevant to the role (e.g. complaints and conduct reporting) and FCA.
- Assess the metrics and outputs holistically across the DA distribution channel and Open Market business, identifying any trends or systemic issues or failures in Ascot’s abilities to meet regulatory standards.
- Providing support to junior team members with training and professional development.
- Ad-hoc projects as determined by the Conduct Risk Manager.
- Report test results, gaps in controls and procedures, and improvement plans including tracking status and follow-up until concluded. Identifying and analysing conduct risks in the business.

**Experience**:

- Previous experience in carrying out annual Fair Value Assessments.
- Conduct risk experience within the Lloyd’s/London insurance market or General Insurance.
- Controls minded individual with proven experience in developing, maintaining, and updating internal controls.
- Working knowledge of insurance industry practices and the current FCA regulatory requirements. Knowledge and experience of implementing appropriate conduct regulations relating to consumer and small business insurance products.

**Skills/Attributes**:

- Using initiative and being proactive.
- Report writing skills.
- Strong communication skills.

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