Overview

Compliance Manager

Report to the Board of Directors, Risk Committee and Executive Committee on the assurance activity undertaken, and the outcomes in terms of whether procedures are compliant with the requirements, and propose remedial actions if they are not.

Ref: 49916

  • Location: Kent
  • Category: Insurance
  • Type: Permanent

Overview

Key Duties:

  • Undertaking autonomous consultancy, engagement, and monitoring to help embed a compliant culture within the Protection business and to help ensure the Protection business unit is compliant with applicable FCA regulations
  • Providing Compliance advice and guidance to the Protection teams on new products, new business opportunities, changes to existing business relationships and changes to existing products
  • To independently operate as the recognised Compliance expert for the Protection Team, considering and proposing options and advising on all aspects of FCA, e.g. provision of product information, literature and documentation, cancellations, claims handling etc.
  • To engage with the Protection Team, to assist them in delivering regulatory compliance and fair customer outcomes, e.g. attending meetings, assisting on a one to one basis, working through issues and resolving them, reviewing MI, getting involved in projects with a regulatory impact etc.
  • To manage and undertake compliance monitoring and reporting as specified in the Compliance Monitoring Plan, to help ensure the Protection team maintain compliance with regulatory standards, and that breaches are remedied promptly

Qualifications required:

  • Compliance qualification or equivalent

Experience required:

  • The role holder will have operated risk and control evaluation programmes in an audit, internal controls or compliance monitoring environment and had input into the design of the programme
  • Significant Compliance experience
  • A very strong track record of delivery of compliance initiatives within the Financial Services sector

Consultant

Jade Parsons

Consultant – Insurance

T: +44 (0)203 867 9842

Email me

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