My client is a leading Lloyd’s Broker who is seeking an experienced Compliance Manager to provide advice and guidance to the business, assist in oversee the monitoring plan, review existing processes and procedures , provide insights and analysis on new legislation and regulation, provide training to the business in relation to conduct, conflicts and general FCA principles.
Duties will include
Assist in the delivery of the annual Compliance Monitoring Plan
Maintain the regulatory timetable and undertake regular review work and thematic monitoring
Assist the business in performing due diligence checks and sanctions screening
Assist with the monitoring of the company’s Appointed Representatives
Submit FCA Applications
Review and update company policies and procedures
Monitor regulatory changes and upcoming legislation
The ideal candidate will have a compliance background within the Insurance Broking sector.
Experience within a Lloyd’s broker would be an advantage. Strong knowledge of FCA rules.