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Risk and Compliance Officer
2 months ago
The Compliance Analyst will support the Head of Compliance and the compliance team to deliver, maintain, and help comply with Davies Insurance Services' regulatory compliance framework and oversee the Intermediary Services' network of Appointed Representatives.
Key Responsibilities- Assisting with the implementation and monitoring of the Davies Insurance Services' (DIS) Compliance Monitoring Plan (CMP)
- Assisting with regular oversight of the DIS' existing and growing network of Appointed Representatives (AR's)
- 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, undertaking due diligence, reviewing policies and procedures, and assisting with the updating of DIS internal policies and procedures.
- Making applications on the FCA's Connect system and assisting with the administration of the regulatory RMAR reporting.
- Reviewing financial promotions in line with ICOBS rules and reviewing customer journeys for ARs in the launch phase.
- Having a proactive approach to help and support the Head of Compliance, and team.
- Assisting the compliance team to undertaking relevant due diligence on new clients and undertaking compliance monitoring visits.
- Assisting with preparing board reports for each AR and DIS compliance board meetings, Group Risk & Governance Board; Reviewing Conduct risk reporting forms, assisting with risk framework, and having a robust approach to compliance monitoring while responsible for allocated ARs and working as a team to support the entire client AR estate.
- To 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
- To also help with the provision of compliance oversight support across our captive management business.
- Circa 4 years' work experience preferably in a compliance function within the general insurance sector.
- Understanding 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 exhibiting the right behaviors and living the firm's values 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 having a sound understanding of the appointed representative model.
