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Compliance Officer
2 months ago
Asta Capital Limited is seeking a highly skilled Compliance Officer to play a vital role in ensuring the company operates in accordance with regulatory requirements.
Main Responsibilities- Act as a deputy to the Compliance and Governance Director in the delivery of Asta Capital Limited's compliance plan, including associated monitoring and reporting.
- Manage more junior members of the Compliance team and any direct reports, including with regard to Sanctions, TOBAs, Conduct Risk and Complaints.
- Review and analyse regulatory changes, providing reports and updates to Asta Capital Limited staff and clients as appropriate.
- Review compliance policies annually and develop policies where necessary.
- Lead regular compliance meetings with managed clients, providing appropriate advice as necessary.
- Lead the creation and delivery of both online and face-to-face compliance training to Asta Capital Limited staff and clients.
- Provide high-quality sanctions advice to managed clients within established SLAs.
- Assist in the on-boarding process for new Asta Capital Limited clients and the migration process for exiting clients.
- Review the assigned risk controls on a quarterly basis to ensure that any related issues are raised.
- Lead the annual capacity and auctions process in line with the Lloyd's capital timetable.
- Strong technical knowledge of UK insurance regulation and experience working within a Lloyd's managing agent.
- Experience of applying regulatory knowledge within an insurance business.
- Experience in handling Sanctions referrals. Complaints/Conduct Risk experience advantageous.
- Degree-level education preferable and ACII qualified, or working towards this.
- Competent user of Microsoft Office (including Outlook, Word, Excel and PowerPoint).
