Compliance Manager

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Compliance Manager

£80000.00 - £90000.00 per annum + +20% Bonus
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Georgina Trudgill
07508 748013

Compliance Manager


Hybrid Working

£80,000-90,000 + 20% annual bonus + private healthcare + 10-16% employer pension

Our client is a rapidly expanding, highly prominent business in the insurance sector. They have multiple 2023 awards to their name and ambitious growth plans taking shape. This forward-thinking organisation pride themselves on their first-rate industry reputation, stringent best practice approach across all areas, and impressive employee satisfaction scores.

Reporting directly to the Compliance Director, they’re currently seeking an experienced financial services professional to join them as Compliance Manager in their London office. You will support the Director in managing the compliance team and overseeing the completion of key compliance oversight performed by the department.

Our client reward all staff with an attractive benefits package including genuine opportunities for career progression, attractive private pension scheme, staff social events and team focused ethos, good holiday allowance, health insurance and life cover, 20% annual performance bonus, and more!

Role Overview:

  • Assist in reviewing due diligence data for potential acquisitions and support the integration of successful acquisitions.
  • Ensure any Compliance aspects of Claims Technical Audits are reviewed.
  • Attending and providing Compliance input into the Delegated Oversight Committee.
  • Support in the drafting of the Solvency & Financial Condition Reports (SFCR), Regulatory Supervisory Report (RSR), Lloyd’s run-off plans and similar requirements as required.
  • Ensure an appropriate and effective Financial Crime framework is in place across the Group
  • Ensure financial crime risk assessments are maintained for all portfolios and updated periodically.
  • Ensure an appropriate and effective Conduct Risk framework is in place across the Group.
  • To support the handling of complaints and any subsequent reporting requirements.
  • Liaison with regulators and internal stakeholders on conduct issues and information requests.
  • To be the main Compliance contact for all Employers’ Liability Tracing Office (ELTO) requirements.
  • Review the weekly ELTO tracing activity.
  • Support in ensuring submission of the annual Directors certificate and associated independent audit report, including managing the ELTO audit process, as required.
  • Support the UK Compliance Director to develop compliance policy in response to new rules, guidance and regulatory standards as required.
  • Review of regulatory consultation papers, proposals and bulletins by providing briefing notes and recommendations as required.
  • To support the department in ensuring that appropriate action is taken to address any requirements and recommendations arising from any Lloyd’s review or Regulatory Risk Assessment Visit.
  • Support compliance with the Senior Manager & Accreditation Regime (SMCR) regime and maintenance of governance maps as required.
  • Work with HR to ensure appropriate Fitness and Propriety is achieved.
  • Provide compliance advice to the business, which will involve knowledge and familiarisation with all relevant legislation and regulation. The provision of compliance advice will include drafting policies and procedures, providing written advice, training and face to face advice.
  • Maintain the UK Platform’s licenses by overseeing; insurance and reinsurance licenses applications, the timely and accurate production of all necessary license renewals and associated filing requirements and providing licensing and sanction support.

Please apply via website or contact Georgina at Harvey John Ltd for more information.

Harvey John recruitment is acting as an Employment Agency in relation to this vacancy.