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Senior Compliance Manager

Salary £50k to £60k
Type Permanent
Location City of London
Sectors Insurance
Job Reference CORP/LXB/30151
Contact Lloyd Balfour
Date posted 29-10-2018

An exciting opportunity to join an innovative Insurance provider to provide guidance, support and advice to the business in support of delivering regulatory compliant business objectives. You will act as the focal point for business and other key stakeholders in the business to embed compliance in relation to Conduct and other regulatory risks. In addition you will actively represent compliance within senior and extended leadership groups to provide accurate, timely, constructive advice and opinions over all regulatory matters.

Accountabilities include:

• Effectively liaises with key stakeholders regularly to internal Compliance function colleagues, 1st Line business, other 2nd line functions, and 3rd Line of defence to disseminate business and compliance activities
• Keeps up to date with regulatory change requirements, effectively interprets the impact of these on the business and provides the business with detailed guidance, support advice and oversight on the successful implementation of these changes
• Ensures that 1st Line Marketing function maintains a library of all signed off financial promotional material
• Works closely with the business to ensure the remediation of regulatory breaches, trends and systemic exposures are effectively managed and to ensure that detective and preventative controls are in place to prevent similar issues in the future
• Works closely with the business to assist in the preparation of materials, management information, guidance, advice, support, attendance at interviews etc. in the event of a Twin Peaks Supervisory Assessment visit

Experience includes:
• Post qualification experience in financial services
• Sound knowledge of UK financial services’ regulatory requirements particularly within the Conduct risk, and a good understanding of Prudential risks
• Sound knowledge of other regulations and trade bodies, including; Financial Crime, DPA, etc
• Strong management skills
• Proven track record as a Compliance Manager within in the Insurance

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Contact Lloyd about this job

Associate, Consultant