Finance & Operations
March 21, 2017
Edenbrook Partners are working with a Multi-national MGA to place the role of Compliance Assistant. A successful candidate in this role will assist the Compliance Officer in monitoring compliance with PRA/FCA, Lloyd’s and other applicable regulations.
The key responsibilities for this role include but are not limited to the following:
- To assist the Compliance Officer in ensuring a robust corporate governance and management culture (Compliance, Risk, Audit and Company Secretarial).
- To ensure that a schedule of all regulatory returns is maintained and all task owners kept full informed of pending submission deadlines.
- Maintaining records of all staff training.
- To liaise with Company Secretarial in carrying some company secretarial duties.
- To assist the Compliance Officer in preparing an Annual Compliance Review updating the Annual Compliance Plan as objectives ae met during the year.
- Assist the CMA Compliance Officer in ensuring compliance functions, policies, procedures are in place to meet Lloyd’s requirements.
- Assist the CMA Compliance Officer and Company Secretary in the servicing of the agency board and committees (preparing agendas, minute taking and ensuring all action points are completed and compliance actions implemented).
- Circulate Market Bulletins from Lloyd’s of PRA/FCA notifications to the CMA Executive Team and designated team members.
- Prepare and monitor compliance timetables for CMA.
- Assist the CMA Compliance Officer with preparing compliance reports for the various boards and sub-committees and attend meetings as required to address compliance issues.
- Assist the Compliance Officer in liaising with Capita Group Internal Audit and Risk to monitor any areas of concern and assist with the management of action points arising from any Capita Group Internal Audits or Risk reviews
- Assist the CMA Compliance Officer in ensuring all business deadlines are met on time.
- Assist the CMA Compliance Officer in reviewing any material incidents/potential breaches.
- Assist the Compliance Officer in writing Compliance policy and procedure updates
- Assist the Compliance Officer in maintaining the CMA Corporate Governance Manual and assisting the CMA team in ensuring policies, procedures and syndicate documentation are reviewed annually and approved by the board, as required.
Should you require any more information on the role – please fond hesitate to contact Edenbrook on 0207 952 1067