Arthur are delighted to be working with a leading London market firm in their search for a Compliance Manager.
Reporting into the Head of Compliance Advisory, you will be required to enforce arrangements as necessary for compliance activities throughout the organisation to meet all applicable regulatory standards, and act as the function lead to provide Compliance oversight, support and challenge to the group Appointed Representatives, and other key third parties.
Key Duties
Functioning as a lead for the oversight of the group's Appointed Representative (AR) providing challenge, oversight and relationship management, ensuring awareness of Group & regulatory requirements, being the point of contact for the escalation and reporting of any issues or events and provision of support where required
Provide Compliance support to wider group management and other internal stakeholders in respect of key third parties and ARs.
Assisting in identifying and mitigating regulatory risk vulnerabilities.
Act as the function lead in ensuring policies and procedures meet all regulatory requirements in respect of oversight of ARs, introducers and Introducer ARs, including documenting annual regulatory required assessments.
Aiding the Conduct Risk Manager in providing oversight and support to the Delegated Authority team in understanding regulatory requirements (on an ad-hoc basis).
To manage own workload to ensure internal and external deadlines are met, to agree any extensions with the Head of Compliance Advisory and/or Director of Risk and Compliance and to provide clear status updates on the progress of work and or status of issues.
To assist the Head of Compliance Advisory in being vigilant of any regulatory issues or concerns with projects or other areas.
To support in the review of applicable new and existing external and internal / Group requirements and ensure measures are put in place to comply and processes and procedures updated as necessary.
Key Skills & Experience
Strong insurer experience working in a regulatory compliance position, ideally broker experience.
Relevant degree or industry-relevant qualifications.
Experience of undertaking controls and systems reviews from a compliance perspective.
Experience of providing oversight to Appointed Representatives, third parties or DUA arrangements.
Impeccable understanding of FCA Conduct Risk requirements.
