Head of Compliance

Found in: Talent UK C2 - 1 week ago

London, United Kingdom PRO GLOBAL Full time

Pro has an exciting opportunity for a Head of Compliance to join its Pro MGA Solutions team. The successful postholder will take overall responsibility for industry and regulatory compliance in respect of the responsibilities and obligations of Pro MGA. The role includes a position on the company’s Board of Directors and necessitates compliance with all requirements, including statutory obligations.

The job holder will also be responsible for overseeing regulatory compliance, including legal/statutory, professional duties and obligations relating to Pro MGA.

This is a full-time, permanent role, based in the London office 2 - 3 days a week.

Main Duties and Responsibilities include but are not limited to:

•  Maintain a thorough understanding of relevant laws and regulatory requirements to provide advice and guidance to the team, enabling them to implement policies and procedures compliant with relevant regulations and legislation.

•  Provide advice in relation to potential registrations in jurisdictions where specific regulations are enforced.

•  Be the key point of escalation for queries and guidance on compliance topics for Appointed Representatives, from launch to BAU

•  Participate in the development and implementation of global policy and procedure ensuring local regulatory / legislative and industry requirements are met.

•  Develop and maintain compliance policies and procedures to comply with statutory and regulatory requirements

•  Communicate with regulators in respect of compliance issues including all material and non-routine correspondence and provide periodic and ad-hoc information and regulatory reports to regulators as required

•  Deliver the annual compliance plan and to ensure the risk management framework is maintained

•  Be accountable for specific controls within the risk management framework

•  Define and review the delivery of operational risk and compliance and new business projects

•  Provide Compliance as a service on selected Appointed Representatives

•  Guide and support Appointed Representatives through Direct Authorisation as required

•  Be accountable for the Compliance Oversight Function role (SMF16)

Skills and Experience required:

•  An in depth understanding of the obligations, including statutory obligations, of being a member of the Board of Directors

•  A minimum of 10 years senior level experience of compliance governance within an insurance/professional services environment

•  Thorough understanding of compliance management obligations (including statutory obligations), requirements and dynamics

•  Established competence in compliance management and control

•  People Management and Leadership with ability to drive and manage a growing team on a day-to-day basis and able to work within and promote a collegiate culture

•  High level interpersonal skills - ability to build successful, mutually beneficial business relationships.

•  Analytical skills able to execute strategic plans

  • Working knowledge of regulatory environment and the ability to assess impact on Pro.MS business operations
  • Planning and organisation skills with the ability to prioritise workloads.
  • Strong attention to detail and high level of accuracy
  • Ability to produce accurate and clear documentation
  • Ability to independently research issues and assess the findings


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