Compliance Expert

2 days ago

London, Greater London, United Kingdom Davies Full time
Job Description

Job Title: Compliance Expert

Job Summary:

We are seeking a highly skilled Compliance Expert to join our team at Davies. As a Compliance Expert, you will play a critical role in ensuring that our business operates in compliance with regulatory requirements and industry standards.

Key Responsibilities:

  • Support the Head of Compliance and the compliance team in delivering, maintaining, and ensuring compliance with our regulatory compliance framework.
  • Oversee the Intermediary Services' network of Appointed Representatives and assist with the implementation and monitoring of our Compliance Monitoring Plan (CMP).
  • Assist with regular oversight of our existing and growing network of Appointed Representatives (AR's) and support the Head of Compliance and team with all acquired businesses within Insurance Services Compliance.
  • Support the Compliance Manager with the day-to-day running of the team and any required ad-hoc tasks.
  • Assist with the launch of new AR's, undertake due diligence, review policies and procedures, and assist with the updating of our internal policies and procedures.
  • Make applications on the FCA's Connect system and assist with the administration of the regulatory RMAR reporting.
  • Review financial promotions in line with ICOBS rules and review customer journeys for ARs in the launch phase.
  • Have a proactive approach to helping and supporting the Head of Compliance and team.
  • Assist the compliance team in undertaking relevant due diligence on new clients and undertake compliance monitoring visits.
  • Assist with preparing board reports for each AR and DIS compliance board meetings, Group Risk & Governance Board; Review Conduct risk reporting forms, assist with risk framework, and have a robust approach to compliance monitoring while responsible for allocated ARs and working as a team to support the entire client AR estate.
  • Work closely with the Head of Compliance, Compliance Manager, Compliance team, CEO Intermediary Services, CEO Insurance Services, Finance Director, other controlled function Directors, Head of Legal, Legal Counsel, Head of Client Solutions.
  • Help with the provision of compliance oversight support across our captive management business.

Requirements:

  • Circa 4 years' work experience preferably in a compliance function within the general insurance sector.
  • Understanding of regulatory rules and how changes affect the wholesale and retail market (retail market would be preferable).
  • Willingness to learn, ability to work on different tasks in a fast-moving environment, and a keen interest in compliance or regulation.
  • Positive, can-do attitude and the right behaviors to help foster a supportive, continuous learning team environment.
  • Experience of supporting, training, developing, and providing timely feedback and direction to wider individuals within a team.
  • Experience in reviewing financial promotions and a sound understanding of the appointed representative model.

  • Compliance Director

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Description:Job Title: Compliance Director - Regulatory ExpertCompany: Compliance ProfessionalsJob Type: Full-timeLocation: LondonJob Category: ComplianceJob Description:We are seeking a highly skilled Compliance Director to join our team at Compliance Professionals. As a Compliance Director, you will be responsible for ensuring that our organization's...

  • Compliance Director

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Description:Job Title: Compliance Director - Regulatory ExpertCompany: Compliance ProfessionalsJob Type: Full-timeLocation: LondonJob Category: ComplianceJob Description:We are seeking a highly skilled Compliance Director to join our team at Compliance Professionals. As a Compliance Director, you will be responsible for ensuring that our organization's...

  • Compliance Expert

    1 week ago

    London, Greater London, United Kingdom Sovos Compliance Full time

    About the RoleSovos Compliance is seeking a highly skilled Regulatory Liaison Counsel to join our team. As a key member of our Regulatory Analysis and Design Department, you will play a critical role in bridging the gap between our regulatory expertise and our strategic ISV partners.Key ResponsibilitiesPartner closely with Sovos functions managing the...

  • Compliance Expert

    6 days ago

    London, Greater London, United Kingdom Sovos Compliance Full time

    About the RoleSovos Compliance is seeking a highly skilled Regulatory Liaison Counsel to join our team. As a key member of our Regulatory Analysis and Design Department, you will play a critical role in bridging the gap between our regulatory expertise and our strategic ISV partners.Key ResponsibilitiesPartner closely with Sovos functions managing the...

  • Senior Compliance Expert

    6 days ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Job Summary:We are seeking an experienced Compliance Professional to join our team at Compliance Recruitment Solutions. As a Senior Compliance Expert, you will be responsible for providing strategic compliance advice to our clients in the asset management industry.Key Responsibilities:Act as the primary compliance resource for a portfolio of clients,...

  • Senior Compliance Expert

    1 week ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Job Summary:We are seeking an experienced Compliance Professional to join our team at Compliance Recruitment Solutions. As a Senior Compliance Expert, you will be responsible for providing strategic compliance advice to our clients in the asset management industry.Key Responsibilities:Act as the primary compliance resource for a portfolio of clients,...

  • Compliance Director

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionJob Title: Deputy Head of ComplianceCompany: Compliance ProfessionalsJob Type: Full-timeLocation: RemoteJob Category: ComplianceAbout Us:We are a leading provider of compliance solutions, dedicated to helping businesses navigate complex regulatory landscapes.Job Summary:We are seeking an experienced Compliance Executive to join our team as...

  • In-House Risk Lawyer

    5 days ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job DescriptionAJ FOX COMPLIANCE Seeks In-House Risk LawyerOur client, a leading international law firm, is seeking an experienced In-House Risk Lawyer to join their dynamic office in London. The role will be varied, contributing to the management and smooth operation of the firm alongside the support of the wider compliance team.Key Responsibilities:Provide...

  • In-House Risk Lawyer

    5 days ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job DescriptionAJ FOX COMPLIANCE Seeks In-House Risk LawyerOur client, a leading international law firm, is seeking an experienced In-House Risk Lawyer to join their dynamic office in London. The role will be varied, contributing to the management and smooth operation of the firm alongside the support of the wider compliance team.Key Responsibilities:Provide...

  • Compliance Director

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionCompliance Professionals is seeking a highly skilled Compliance Director to join our team in London. As a key member of our compliance team, you will play a critical role in ensuring our organization's compliance with regulatory requirements.Key Responsibilities:Regulatory Horizon Scanning: Lead the identification and analysis of emerging...

  • Compliance Director

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionCompliance Professionals is seeking a highly skilled Compliance Director to join our team in London. As a key member of our compliance team, you will play a critical role in ensuring our organization's compliance with regulatory requirements.Key Responsibilities:Regulatory Horizon Scanning: Lead the identification and analysis of emerging...

  • Compliance Manager

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role:Compliance Professionals is seeking a highly skilled Compliance Manager to join our team. As a Compliance Manager, you will play a critical role in ensuring that our organization operates in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and implement effective compliance policies and...

  • Compliance Manager

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role:Compliance Professionals is seeking a highly skilled Compliance Manager to join our team. As a Compliance Manager, you will play a critical role in ensuring that our organization operates in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and implement effective compliance policies and...

  • Compliance Manager

    6 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Company OverviewCompliance Professionals is a leading fintech banking group that operates globally. We are seeking a highly skilled Compliance Manager to join our London-based team.Job SummaryWe are looking for a seasoned Compliance Manager to lead our regulatory efforts and provide strategic guidance to our senior management team. The ideal candidate will...

  • Compliance Manager

    7 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Company OverviewCompliance Professionals is a leading fintech banking group that operates globally. We are seeking a highly skilled Compliance Manager to join our London-based team.Job SummaryWe are looking for a seasoned Compliance Manager to lead our regulatory efforts and provide strategic guidance to our senior management team. The ideal candidate will...

  • Compliance Manager

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionThe CompanyOur global fintech banking group is a leading financial institution that provides innovative banking solutions to individuals and businesses worldwide.The RoleWe are seeking a highly skilled Compliance Manager to join our London-based team. As a key member of our compliance department, you will be responsible for leading regulatory...

  • Compliance Manager

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionThe CompanyOur global fintech banking group is a leading financial institution that provides innovative banking solutions to individuals and businesses worldwide.The RoleWe are seeking a highly skilled Compliance Manager to join our London-based team. As a key member of our compliance department, you will be responsible for leading regulatory...

  • Product Compliance Specialist

    4 days ago

    London, Greater London, United Kingdom Expert Employment Full time

    Senior Quality Assurance Role at Expert Employment We are seeking a highly skilled Product Compliance Engineer to join our team and own production compliance to customer requirements from bid, pre and post sales, assuring product quality through to customer satisfaction upon delivery and use. This is a senior and cross-functional role within the business...

  • Product Compliance Specialist

    4 days ago

    London, Greater London, United Kingdom Expert Employment Full time

    Senior Quality Assurance Role at Expert Employment We are seeking a highly skilled Product Compliance Engineer to join our team and own production compliance to customer requirements from bid, pre and post sales, assuring product quality through to customer satisfaction upon delivery and use. This is a senior and cross-functional role within the business...

  • Compliance Manager

    2 days ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    About the RoleAJ FOX COMPLIANCE is seeking an experienced Compliance Manager to lead our new risk and compliance team. This is a fantastic opportunity for a compliance professional with a passion for financial crime prevention, client onboarding, and team leadership.Key ResponsibilitiesOversee the client onboarding process, ensuring all Know Your Customer...