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Senior Compliance Monitoring Officer

The details


Arthur are working with a leading insurance broker that are looking to add a Senior Compliance Monitoring individual to the team in order to lead on monitoring processes.

Reporting into the Head of Compliance Monitoring, you will be expected to conduct thematic reviews across the business as well as playing a leading role in the construction of the Compliance Monitoring Plan (CMP) amongst other responsibilities.

This is an excellent opportunity for a Senior Compliance Monitoring figure with a track record of leading on Monitoring activities to grow with an expansive insurance business and take on direct reports in the process.

Main Duties

  • Assuming responsibility for the delivery of distinct elements of the Compliance Monitoring Framework and Compliance Monitoring Plan, as agreed with the Head of Compliance Monitoring.
  • Recommending improvements to the Compliance Monitoring Framework, including the development of efficient and innovative processes and reporting, to ensure prompt identification of compliance risks.Leading on gap analysis for all areas under review, allocating advice and recommendations on how to refine gaps.Leading on the composition of thematic reviews.
  • Taking a leading role in preparing reports, ensuring all vital information is gathered and that risks and recommendations are highlighted.
  • Develop and critically analyse existing monitoring processes to ensure they are efficient and effective.
  • Work closely with each of the other teams within the Compliance Function to identify any changes to regulatory or legislative requirements, ensuring that any monitoring activities or processes are updated accordingly.
  • Staying on top of all regulatory and legal changes which impact the business.
  • Creating a strong and effective rapport across the business in order to promote a positive image of the Compliance Function.

Key Skills

  • Impeccable awareness and understanding of the FCA handbook
  • Strong knowledge and understanding of insurance, broking, principles, and products and servicesCommercial awareness with an understanding of the application of regulation within insurance brokers.T
  • Stand-out oral and written communication skills.
  • Good planning, organisation, delivery and time management skills
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