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Compliance Assistant

1 month ago

London UK, UK, United Kingdom Nashrock Insurance Recruitment Full time

Salary: To be determined based on relevant experience


Working Arrangement: Team members are expected to be in the office from Monday to Thursday each week. Flexibility is provided for working from home on Tuesday to Thursday for personal appointments, such as doctor's visits.


Job Description:

We are seeking a detail-oriented and proactive Compliance Assistant with a minimum of 2 years’ experience at a broker or insurer, particularly in reviewing placing or claim files. The successful candidate will report to the Compliance Officer and be responsible for various compliance-related tasks to ensure our company's adherence to legal and regulatory requirements.

Key Responsibilities:

  • Underwriter TOBA Management: Oversee and manage Terms of Business Agreements with underwriters.
  • Compliance File Reviews: Conduct thorough reviews of placing and claims files to ensure compliance with regulatory standards.
  • Anti-Financial Crime Monitoring: Monitor activities for anti-financial crime purposes, including auditing AC Records and high-risk transactions.
  • Business Partner Approval and Review: Evaluate and approve new business partners and conduct regular reviews of existing partners.
  • Security Approval and Review: Assess and approve security measures and protocols, ensuring they meet compliance standards.
  • Follow-up Actions from Compliance Monitoring: Manage and implement follow-up actions arising from compliance monitoring activities.
  • Legal and Regulatory Updates: Summarize, communicate, and assist in the implementation of changes in legal and regulatory requirements.
  • Staff Training: Assist in providing training to staff on compliance-related topics and procedures.
  • Compliance Monitoring Development: Contribute to the development and effectiveness of compliance monitoring, including management information (MI) and Board reporting.
  • Guidance on Internal Processes: Provide guidance to staff on adherence to internal processes, procedures, rules, and legal and regulatory requirements.
  • Board Actions and Projects: Assist in the implementation and management of Board actions and general compliance projects.
  • Compliance Plan Delivery: Support the Compliance Officer in delivering the Compliance Plan, including conducting risk assessments, updating policies, rules, and procedures, and embedding operational controls.
  • Cross-functional Liaison: Work closely with various departments (management, trading, technical, finance) to deliver compliance objectives.


Qualifications and Experience:

  • Minimum 2 years of experience in a broker or insurer environment.
  • Proven experience in reviewing placing or claim files.
  • Strong understanding of compliance principles and regulatory requirements in the insurance industry.
  • Excellent communication and interpersonal skills.
  • Detail-oriented with strong organizational and analytical skills.
  • Ability to work collaboratively across different departments and manage multiple tasks efficiently.


Application Process:

If you meet the above requirements and are ready to take on this challenging and rewarding role, please submit your CV.

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