Compliance Manager – London Market

  • London
  • £55000 - £60000 per annum, Benefits: Sarah Jones
  • Permanent

My client is a leading Lloyds Broker. We are seeking an additional Compliance Officer to join the team. The ideal candidate will have knowledge of the London Market and compliance experience either within a Broker or Insurer. Good knowledge of the FCA rules is essential.
Duties and Responsibilities:

  • The role will involve providing technical advice, guidance and solutions to the business
  • Handling compliance queries including relating to the Appointed Reps, approved persons, branch applications, FCA surveys (Gabriel and Connect) sanctions queries, agreement reviews, operational assistance, complaint handling, KYC on-boarding etc
  • Review current procedures and carry out a gap analysis on new legislation and regulation
  • Deliver training to the business on conduct risk , conflicts and general FCA principle focused compliance
  • Assist in the delivery of the Company’s annual Compliance Monitoring Plan
  • Maintain the regulatory timetable
  • Assist the business as required in performing due diligence checks on new business relationships
  • Carry out Sanction Screening on a monitoring and ad-hoc basis
  • Assist with the monitoring of the company’s Appointed Representatives
  • Submit Applications to the FCA where required
  • Ensure company policies and procedures are up to date
  • Monitor regulatory changes
  • Compile reports and management information packs
  • Co-ordinate file reviews and external audits across the business

Skills and Experience:

  • The ideal candidate will have good FCA and London Market knowledge
  • Be comfortable liaising with senior stakeholders
  • Knowledge of the AR framework useful
  • A team player who enjoys working in a collaborative fast paced environment

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