Compliance - Head of Advice & Guidance

3 weeks ago

London, United Kingdom Eames Consulting Full time

Our client, a global insurance broker is seeking an experienced compliance professional to join their established governance function. The role will lead the Advice & Guidance Team and assist in the implementation of an effective Compliance systems and controlsregime for the UK regulated entities, while providing efficient and effective support to the Chief Risk Officer and the wider Risk & Compliance team.

**Key Responsibilities**:

- Lead the team providing advice and guidance on all matters relating to compliance ensuring records of all advice and guidance given are maintained
- Provide day to day advice and guidance on all aspects of regulation including the FCA Handbook including SYSC and ICOBS as well as Lloyd's market standards
- Researching, advising, and responding to Business Division compliance and regulation related queries
- Liaising with the Business Support Unit as needed in relation to Counterparty relationship matters and Compliance issues generally
- Monitoring developments in international sanctions and trade licence requirements, analysing such developments and assessing the impact of them on the activities of the UK regulated entities
- Formulating recommendations to address changes in the international sanctions and trade licence arena, agreeing appropriate reaction to those changes with the Chief Risk Officer and communicating resultant updated information and/or amended business practicesto Business Divisions affected
- Investigation of potential due diligence screening matches referred by Risk & Compliance colleagues, Business Support Unit or Business Division personnel, assessing likely impact to trading activities and risk appetite of UK regulated entities and providingappropriate advice/decision on proposed trading relationship
- Review and sign off financial promotions and other marketing material, including branded on-line facilities and maintaining a register of all approvals.
- Reviewing, negotiating, and agreeing TOBAs with Market Counterparties and other contractual trading arrangements or agreements with external parties, including Non-Disclosure Agreements
- Managing Broker of Record transfer agreements, liaising with Business Divisions as appropriate
- Develop and maintain a suite of relevant Compliance management information for onward reporting to our governance committees and the Boards
- Work with HR and R&C to ensure that all elements of the Senior Manager & Certification Regime framework are delivered, including F&P; Self-Assessment; Conflicts of Interest etc.
- Escalating issues of concern affecting Risk & Compliance and/or UK regulated entities to Compliance Officer or Chief Risk Officer as necessary and assisting in the investigation/resolution of such issues
- Delivering Compliance, regulatory and best business practice related awareness training to our UK regulated entities as required
- Deputising for the Chief Risk Officer as and when the need arises
- Effectively manage direct line report staff and assist Chief Risk Officer in general day-to-day management of the Risk & Compliance team

**Skills and Knowledge**:

- Good working knowledge of UK regulatory requirements together with awareness of developing regulatory themes and issues
- Able to effectively manage workload and competing priorities, acting with limited or no supervision
- Strong attention to detail and high level of accuracy
- Good communication and interpersonal skills
- Excellent administrative and organisational skills
- Ability to independently research issues and assess findings of that research
- Ability to develop strong knowledge and awareness of our computer systems and programs
- Strong team player and able to motivate/encourage other team members
- Broad awareness of the insurance industry and prior experience in a similar role
- General understanding of international regulation and the need to assess its impact on our business operations

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

  • Head of Compliance Advice

    4 weeks ago

    London, United Kingdom IPS Group Full time

    **Salary**: To £90,000 + Bonus + Benefits**Location**: City of London, London**Job reference**: 149710_1670240682 You will be Head of Compliance Advice and Guidance for this well established Lloyd’s Broker, working closely with the Chief Risk Officer and across all UK regulated entities for this firm. Current experience working in Compliance for a UK...

  • Compliance Officer

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a rapidly growing boutique investment banking firm providing financial services to a range of clients. **THE RESPONSIBILITIES**: - Conducting financial crime and regulatory compliance monitoring in accordance with the firm’s Annual Monitoring Plan (AMP) and Compliance Monitoring Plan (CMP); - Conducting surveillance...

  • Deputy Head of Compliance

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting Carry out regulatory and various other legal...

  • Deputy Head of Compliance

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting Carry out regulatory and various other legal...

  • Deputy Head of Compliance

    1 day ago

    City of London, Greater London, United Kingdom Compliance Professionals Full time

    We have been instructed by an international corporate & specialist finance bank who has their European hub in London. Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting • Carry out regulatory and various other legal compliance (including AML, ABC, anti-fraud, DPA) advisory, monitoring and ad hoc activities, in...

  • Deputy Head of Compliance

    1 day ago

    City of London, Greater London, United Kingdom Compliance Professionals Full time

    We have been instructed by an international corporate & specialist finance bank who has their European hub in London. Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting • Carry out regulatory and various other legal compliance (including AML, ABC, anti-fraud, DPA) advisory, monitoring and ad hoc activities, in...

  • Compliance Manager/Senior Manager

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. 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 assessments. Support the...

  • Compliance Manager/Senior Manager

    2 days ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. 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 assessments. Support the...

  • Senior Compliance Manager

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    Our 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...

  • Senior Compliance Manager

    2 days ago

    London, United Kingdom Compliance Professionals Full time

    Our 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...

  • Deputy Head of Compliance

    2 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Applying for this role is straight forward Scroll down and click on Apply to be considered for this position.We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES:Designated...

  • Deputy Head of Compliance

    7 days ago

    London, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting Carry...

  • Deputy Head of Compliance

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting Carry out regulatory...

  • Deputy Head of Compliance

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting Carry out regulatory...

  • Regulatory Compliance Manager

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. 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 assessments. Support the...

  • Deputy Head of Compliance

    1 day ago

    City of London, Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Applying for this role is straight forward Scroll down and click on Apply to be considered for this position. We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated...

  • Deputy Head of Compliance

    1 day ago

    City of London, Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Applying for this role is straight forward Scroll down and click on Apply to be considered for this position. We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated...

  • Deputy Head of Compliance

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Job DescriptionTHE COMPANY: We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reportingCarry out...

  • Deputy Head of Compliance

    4 days ago

    Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Applying for this role is straight forward Scroll down and click on Apply to be considered for this position.We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES:Designated...

  • Senior Compliance Manager

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: Our 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...