Compliance Professional

4 weeks ago

London, Greater London, United Kingdom Miller Full time

Miller is seeking a highly skilled Compliance Officer to provide a prompt, accurate, and effective compliance service and to promote and develop the compliance culture across the group.



Key Responsibilities


  • Contribute to the delivery of Miller's compliance monitoring plan and ensure regular compliance monitoring reviews are conducted on time.
  • Support the Compliance Officer in undertaking and coordinating compliance monitoring activities across Miller, its subsidiaries, and Appointed Representatives.
  • Assess the quality of first-line defence file reviews by undertaking sample second-line defence file reviews.
  • Develop and review management information feeds and dashboards to assess trends in regulatory performance and regulatory risk profiles across Miller.
  • Conduct in-depth investigations to identify key issues and root causes.
  • Produce regular compliance monitoring reports and dashboards in a timely manner, providing Senior Management and the Compliance Committee with an understanding of regulatory performance across Miller and the on-going ability of Miller to manage or mitigate existing and developing regulatory risks.
  • Recommend actions to Senior Management and the Compliance Committee to address issues identified by compliance monitoring and track their completion.
  • Liaise and work with business units to understand the regulatory risk profiles of their business and activities.
  • Keep abreast of changes to applicable regulatory and legislative requirements and work with other areas of the Compliance team to incorporate these into Miller's compliance monitoring framework.
  • Contribute to wider compliance function projects as necessary.
  • Consider and assist in the identification of compliance monitoring process enhancements.
  • Adhere to and meet the expectations of Miller, as set out in its policies and procedures, training material, and embedded in its systems and controls.
  • Perform assigned responsibilities as delegated routinely or from time to time.
  • Comply with any external rules and requirements imposed on individuals performing their role at Miller, such as Lloyd's byelaws and FCA rules.
  • Promote Miller brand and values to enhance Miller's reputation in the market.


Qualifications and Experience


  • GCSE English and Maths at grade C or above (or equivalent).
  • CII qualifications desirable but not essential.
  • An understanding of the insurance industry, particularly insurance broking, the regulatory environment within which Miller operates, and the regulatory requirements it must meet.
  • Experience working in a financial services compliance monitoring or internal audit role.
  • Experience in a similar role in an insurance broking firm desirable.
  • Strong report writing skills and experience producing reports using Microsoft Word and Excel.


Benefits


  • 10% pension contribution from Miller. In addition, Miller will match any employee contributions up to 5%.
  • Private Medical Insurance.
  • Medicare cash plan.
  • Minimum of 25 days annual leave (with flexibility to buy more).
  • Life Assurance.
  • Income Protection.
  • Critical Illness cover.
  • Enhanced Maternity, Paternity Adoption and Shared Parental Leave.


Miller is committed to providing equal opportunities to all applicants and to creating an inclusive working environment for all.

  • Insurance Tax Compliance Professional

    2 weeks ago

    London, Greater London, United Kingdom Sovos Compliance Full time

    We are seeking an Insurance Tax Compliance Professional to join our team at Sovos Compliance. In this role, you will be responsible for preparing and filing IPT returns for clients, ensuring accuracy and timeliness.The successful candidate will possess strong analytical skills, attention to detail, and the ability to work independently in a fast-paced...

  • Compliance Professional

    2 weeks ago

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

    Key Responsibilities:A highly skilled and dedicated Compliance Officer is required to handle a broad range of compliance, conflicts, and Anti-Money Laundering (AML) issues.Advise secretaries, fee earners, and partners on best practice in relation to client matters opening procedures.Carry out ad hoc tasks and projects which may arise within the team to...

  • Compliance Expert Professional

    2 weeks ago

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

    Job SummaryWe are seeking a highly skilled and experienced Senior Compliance Monitoring Specialist to join our team at Compliance Recruitment Solutions. The ideal candidate will have a strong background in compliance monitoring, with a minimum of 2 years' experience in a Wealth Management or Retail Financial Advice firm.About the RoleThe Senior Compliance...

  • Risk Management Professional

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Description:We are seeking a highly skilled Risk Management Professional to join our team as a Senior Compliance Specialist. This is an excellent opportunity for an experienced professional to work with a reputable banking firm and contribute to the development and implementation of effective compliance monitoring plans.Key Responsibilities:Develop and...

  • Compliance and Risk Management Professional

    2 weeks ago

    London, Greater London, United Kingdom AJ Fox Compliance Full time

    This role requires a highly organised individual with excellent time management skills, able to manage multiple priorities and meet deadlines.About the Role:As a key figure in AJ Fox Compliance's team, you will be responsible for implementing risk management policies, procedures, and internal audits, as well as delivering firm-wide training and managing...

  • Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Role Overview:We are seeking a skilled Junior Compliance Officer to support the monitoring and assessment of compliance with regulatory requirements and internal policies at a boutique wholesale bank.Key Responsibilities:Support the development and implementation of compliance policies and procedures.Conduct periodic compliance reviews and audits to ensure...

  • Senior AML Compliance Professional

    4 weeks ago

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

    AJR Compliance Seeks Experienced AML SpecialistWe are seeking a highly skilled and experienced AML Specialist to join our team at AJ Fox Compliance.About the Role:AML Governance and Risk Management: Ensure client onboarding processes align with regulatory requirements and internal procedures.Due Diligence and Client Structures: Oversee and assist with...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Compliance ManagerJob Summary:We are seeking a highly skilled Compliance Manager to join our team at Compliance Professionals. The successful candidate will be responsible for managing a small team and will be required to work 4 days in the office.Key Responsibilities:Consideration of all relevant statutory and regulatory provisions, particularly...

  • Regulatory Compliance Expert

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job SummaryWe are seeking an experienced Regulatory Compliance Expert to join our team at Compliance Professionals. This role will involve ensuring adherence to statutory and regulatory provisions, monitoring regulatory developments, and maintaining the Compliance Monitoring Programme.Key ResponsibilitiesEnsure compliance with FCA, LME, LME Clear, NFA, and...

  • Compliance Director of Operations

    2 weeks ago

    London, Greater London, United Kingdom Compliance Wise Full time

    This is an exciting opportunity for a seasoned compliance professional to lead our firm's global Compliance function at Compliance Wise.Lead the development and implementation of a comprehensive Compliance strategy.Ensure continued compliance with all legal and regulatory requirements.Promote a culture of compliance throughout the organization.Manage a team...

  • AML Compliance Manager

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Are you a motivated and experienced AML Compliance Manager looking for a new challenge? We have an exciting opportunity for you to join Compliance Professionals in the city as a Regulatory Risk Professional.You will be responsible for ensuring compliance with regulatory requirements, identifying and assessing compliance risks, and maintaining knowledge of...

  • Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job SummaryWe are seeking a highly skilled and experienced Compliance Officer to join our team at Compliance Professionals in London. The successful candidate will be responsible for ensuring that all regulatory requirements are met and maintained, while also providing administrative support to the legal department.Key Responsibilities:Writing minutes and...

  • Regulatory Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance ManagerThe Compliance Professionals are seeking a highly skilled Regulatory Compliance Specialist to join their London-based compliance team. This is a challenging and rewarding role that requires strong knowledge of regulatory requirements and compliance best practices.About the Role:This position plays a crucial role in ensuring adherence to...

  • Compliance Advisory Expert

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:Compliance Professionals seek a skilled Compliance Advisory Expert to join their team. The successful candidate will provide expert advice and guidance on financial crime matters, ensuring the company remains compliant with regulatory requirements. This is an excellent opportunity to work with a reputable company and advance your career in...

  • Regulatory Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the RoleWe are seeking a skilled Regulatory Compliance Specialist to join our team at Compliance Professionals.Job SummaryThe ideal candidate will have at least 5 years' experience in Compliance or Operations within financial services, preferably fund management and/or discretionary management environment. Strong appreciation of Compliance and...

  • Compliance Governance Specialist

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Established in the heart of the financial district, Compliance Professionals is a renowned company seeking a highly skilled Compliance Monitoring Analyst to join their team on a permanent basis. The ideal candidate will have a deep understanding of regulatory frameworks and excellent analytical skills.Job OverviewThe Compliance Monitoring Analyst will be...

  • Compliance Program Manager

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Leading Compliance ProfessionalsA Career Opportunity at Our Organisation:Job SummaryWe are seeking a highly skilled and experienced Compliance Program Manager to join our team. This is a unique opportunity to work with a leading global commodities organisation, assisting with managing a small team and working 4 days in the office.Key Responsibilities:Ensure...

  • Compliance Monitoring Specialist

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Monitoring Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for assisting in the development and annual planning of the Compliance Monitoring Plan, independently scoping and planning all assigned reviews, and executing all assigned monitoring...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Role:Compliance Professionals is seeking a highly skilled Compliance Officer to join our team. As a key member of our compliance department, you will be responsible for assisting with the management of our compliance monitoring program and ensuring adherence to all applicable regulatory obligations.Responsibilities:Consideration of all...

  • Regulatory Compliance Specialist

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionCompliance Professionals is seeking a highly skilled Regulatory Compliance Specialist to join our team.About the RoleThis exciting opportunity allows you to utilize your expertise in regulatory compliance to provide comprehensive advice on requirements and interpret complex regulatory changes. You will work closely with key stakeholders,...