Regulatory Compliance Specialist

2 weeks ago


City Of London, United Kingdom Oliver James Associates Ltd. Full time

We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Oliver James Associates Ltd. in the city.

Key Responsibilities:

  • Implement and monitor the Compliance Monitoring Plan to ensure regulatory adherence.
  • Oversee Appointed Representatives, conduct due diligence, review policies, and ensure regulatory compliance.
  • Support the compliance team with acquired businesses and day-to-day tasks.
  • Review financial promotions and customer journeys for compliance with ICOBS regulations.
  • Prepare board reports and review audit reports, recommending improvements for Appointed Representatives.
  • Collaborate with internal stakeholders and external bodies (FCA, Lloyd's, BIBA).

Requirements:

  • 3-4 years of compliance experience in the insurance industry.
  • Strong understanding of FCA rules (PRIN, ICOBS, SYSC, SUP) and Appointed Representative models.
  • Experience in reviewing financial promotions and compliance monitoring.
  • CII qualification (or willingness to pursue) is desirable.

A proactive, team-focused individual with a solid compliance background, strong regulatory knowledge, and excellent communication skills is required for this role.



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