Location
London
Salary
££60k - £75k Base + Bonus + Benefits / p.a
Type
Risk Governance (Audit, Risk & Compliance)
REF No.
550
Listed Date
May 31, 2018

The primary role of the Compliance Monitoring Manager is to manage and assist in the activities of the Compliance department. In this role you will have the opportunity to join a newly re-formed compliance monitoring team. You will develop methodologies, procedures and policies while working closely with your senior manager and the Head of Compliance.

Timely preparation (and submission when appropriate) of:

  • standard reports, returns and notifications to be submitted to regulator
  • non-standard reports and documentation requested by regulators
  • non-standard notifications and reports to be submitted to regulators
  • applications and notifications under the Approved Persons / SIMR regime
  • maintenance of firm’s licences and permissions (including FOS & FOE)
  • maintenance of the Corporate Calendar
  • management of the various Compliance registers and related procedures, including:
  • conflicts of interest
  • gifts & entertainment
  • breaches and incident
  • remuneration
  • management of  departmental filing, including communications with regulators
  • preparation of briefing material in connection with meetings with regulators
  • content management for Compliance pages on intranet site

Qualifications

Relevant compliance and/or audit qualifications beneficial but not essential.

Experience

  • Candidates should have a strong knowledge of the insurance industry, especially non-life sectors. They must also have a good understanding of FCA/PRA requirements
  • Working knowledge of European regulatory environment would be advantageous
  • The candidate should have a demonstrated ability to work well within a team. They should be adept at managing competing priorities with excellent time management and organisation skills. The candidate should also have strong inter-personnel skills and be skilled at communicating compliance and regulatory issues to key stakeholders, both verbally and in writing.