Compliance Manager

1 month ago

UK, UK, United Kingdom Asta Capital Limited Full time

Compliance Manager


To provide the business with day-to-day advisory and oversight activities, assist in the delivery of the compliance plan and manage the compliance relationship with assigned managed client.


The Compliance Manager will be the primary point of contact for assigned clients which will require a broad level of technical compliance knowledge.


Generic Tasks:

  • ISO 27001 -All Staff - to comply with the applicable Information Security Management System (ISMS) policies,
  • including Clear Desk and Screen Policy, attend annual IT security training, Information Systems
  • Usage policy. Managers only – ensure that all direct reports comply with all ISMS policies.
  • Timesheet - Ensure timesheets are accurately and diligently completed within the required timeframe. Manager’s only – in addition, ensure timesheets are authorised within the required timeframe.
  • Conduct Standards – Tier 1 - All Staff – to comply at all times with the PRA/FCA’s Conduct Standards, namely: 1.) to act with
  • integrity 2.) to act with due skill, care and diligence and 3) to be open and co-operative with the FCA, the PRA and other regulators. 4) You must pay due regard to the interests of customers and treat them fairly. 5) You must observe proper standards if market conduct.


  • Key Tasks:
  • Act as a deputy to the Head of Compliance in the delivery of Asta’s compliance plan, including associated monitoring and reporting to relevant boards and committees.
  • Manage more junior members of the Compliance team and any direct reports including with regard to Sanctions, TOBAs, Conduct Risk and Complaints.
  • Review and analyse regulatory changes, providing reports and updates to Asta staff and clients as appropriate.
  • Review compliance policies annually and develop policies where necessary.
  • Lead regular compliance meetings with managed clients, providing appropriate advice as necessary.
  • Lead the creation and delivery of both online and face-to-face compliance training to Asta staff and clients.
  • Provide high quality sanctions advice to managed clients within established SLAs.
  • Assist in the on-boarding process for new Asta clients and the migration process for exiting clients.
  • Review the assigned risk controls on a quarterly basis to ensure that any related issues are raised.
  • Attend and contribute to the syndicate Product Oversight Groups. Analyse managing agent level conduct risk MI, reports, fair value assessments.
  • Prepare and submit regulatory returns to various stakeholders such as the PRA, FCA and Lloyd’s.
  • Participate in additional projects and activities that may arise.


Key personal skills:

  • Accurate with good attention to detail.
  • Ability to analyse compliance requirements and embed them into business processes.
  • Ability to form good working relationships with internal and external stakeholders and work as part of a team.
  • Excellent communication skills, both written and verbal.
  • Display initiative and an ability to work without close supervision.
  • Positive attitude and willingness to learn.


Key technical skills, knowledge and professional qualifications:

  • Strong technical knowledge of UK insurance regulation and experience working within a Lloyd’s managing agent.
  • Experience of applying regulatory knowledge within an insurance business.
  • Experience in handling Sanctions referrals.
  • Experience handling complaints and managing business with conduct risk exposure.
  • Degree level education preferable and ACII qualified, or working towards this.
  • Competent user of Microsoft Office (including Outlook, Word, Excel and PowerPoint).

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