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Compliance Expert

2 months ago

London, Greater London, United Kingdom Davies Consulting Full time
About the Role

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

Key Responsibilities
  • Compliance Monitoring and Oversight: Assist in the implementation and monitoring of our Compliance Monitoring Plan (CMP) to ensure that our business operations are in line with regulatory requirements.
  • Appointed Representative Oversight: Regularly oversee our network of Appointed Representatives (ARs) to ensure that they are complying with regulatory requirements.
  • Compliance Support: Support the Head of Compliance and team with all acquired businesses within our Insurance Services Compliance function.
  • Team Support: Support the Compliance Manager with the day-to-day running of the team and any required ad-hoc tasks.
  • New Business Launch: Assist with the launch of new ARs, including undertaking due diligence, reviewing policies and procedures, and assisting with the updating of our internal policies and procedures.
  • Regulatory Reporting: Make applications on the FCA's Connect system and assist with the administration of the regulatory RMAR reporting.
  • Financial Promotions Review: Review financial promotions in line with ICOBS rules and review customer journeys for ARs in the launch phase.
  • Due Diligence and Compliance Monitoring Visits: Assist the compliance team in undertaking relevant due diligence on new clients and undertaking compliance monitoring visits.
  • Board Reports and Compliance Meetings: Assist with preparing board reports for each AR and DIS compliance board meetings, Group Risk & Governance Board; review insurer audit reports and draw recommended remedial actions to the AR.
  • IDD Requirements: Understand the IDD requirements and ensure that all ARs who fall in scope adhere to this important requirement.
  • Conduct Risk Reporting: 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.
  • Team Collaboration: Work closely with the entire team and support one another.
  • Stakeholder Relationships: Build strong relationships with key stakeholders, including CEOs, Directors, and Managers of our Appointed Representatives, as well as working closely with the FCA, FOS, Lloyd of London, PRA, FSCS, CII, and other useful organizations such as MGAA and BIBA.
  • Captive Management Business: Assist with the provision of compliance oversight support across our captive management business.
Requirements
  • Work Experience: The candidate should have circa 4 years' work experience preferably in a compliance function within the general insurance sector.
  • Regulatory Knowledge: The candidate should understand regulatory rules and how changes affect the wholesale and retail market (retail market would be preferable).
  • Learning and Adaptability: The candidate should be willing to learn, work on different tasks in a fast-moving environment, and have a keen interest in compliance or regulation.
  • Positive Attitude and Behaviours: The candidate should show a positive, can-do attitude and exhibit the right behaviours and live our firm's values to help foster a supportive, continuous learning team environment.
  • Team Support and Development: The candidate should have experience of supporting, training, developing, and providing timely feedback and direction to wider individuals within a team.
  • Financial Promotions Review: The candidate should have experience in reviewing financial promotions and have a sound understanding of the appointed representative model.
  • Qualifications: Ideally working towards, or having a passion to work towards, a relevant qualification such as the Chartered Insurance Institute (CII) qualification would be preferable.