An established household name in the general insurance sector operating on a global basis in over 30 countries across five continents. JOB DETAILS
As Compliance Manager you will play a key role within the business providing generalist compliance expertise to the business as a whole including monitoring, policy, advisory, financial promotions.
Responsibilities will include but not be limited to:
Provide guidance and information to ensure that the business meets its regulatory / compliance obligations, including new business take on and due diligence reviews
* Research new market requirements, preparing requests for, obtaining and analysing external specialist advice to support new initiatives and resolution of significant issues
* Submit Approved Persons applications, ensuring all regulatory reporting and filing obligations are properly met
* Review and approval of all Financial Promotions including the provision of compliance advice to the business covering marketing materials, website promotions and policy terms and conditions.
* Maintain key compliance registers (CRIC, breaches logs etc) and associated monthly reports to the Head of Legal and Compliance and Executive Committees
* Prepare and implement internal and external compliance monitoring programmes
* Prepare and implement compliance policies and procedures (including anti money laundering and sanctions checks) and annual review
* Assist in the management and mitigation of risk, including active participation and presentation of relevant papers for updating and discussion at board meetings
* Promote a culture of fair customer outcomes throughout the business
* Provide advice and guidance on implementation of data protection in the business
* Assist L&D in the preparation and delivery of compliance specific training to the business
* Inform the business on all relevant aspects of regulatory change, including publication of monthly 'Compliance Matters' to the business
* Engaging with clients and outsourced suppliers involved in product distribution and the provision of services to the business
* Management, support and development of direct reports
The successful candidate will be an experienced Compliance Manager with a strong academic background, and relevant experience in financial services, ideally in the insurance sector. As this is an interim role you should be of the level of experience that will allow you to pick up the role immediately with only familiarisation of local/internal systems and structure being required.
This is a great opportunity for perhaps a local individual to avoid the commute to the city for a period of time. It's a wide and varying role that will allow you to put your acquired experience to good use and at the same time a highly reputable name to you your CV for your own professional profile.
Please quote CGL1612-60 when calling Alexander Lloyd on 01293 572900 and ask for our Compliance division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.