Senior Compliance Manager
Posted on Dec 12, 2018 by McGregor Boyall
We have an exciting new opportunity with leading health and life insurance and investment business, who are looking for a Senior Compliance Manager to join their team. It is a permanent position based in London. They are able to offer up to £65,000.
The role is responsible for the general compliance management across the organisation which includes providing guidance, support and advice to the business for delivering regulatory complaint business objectives
- Responsible for establishing and maintaining strong stakeholder management relationships across the organisation
- Attend business senior leadership meetings to ensure alignment of compliance activities with business strategy
- Provide advice, support and guidance on all aspects of regulation to the business, particularly relating to Conduct risk
- Regularly liaise with key stakeholders, to internal Compliance function colleagues, 1st Line business, other 2nd line functions, and 3rd Line of defence to disseminate business and compliance activities
- Remain up to date with regulatory change requirements and interpret the impact of these on the business and provide detailed guidance, support and oversight on the successful implementation of these changes
- Ensure the 1st Line Marketing function maintains a library of all signed off financial promotional material
- Work close with the business to ensure the remediation of regulatory breaches. Ensure trends and systemic exposures are managed correctly and ensure that detective and preventative controls are in place to prevent a reoccurrence
- Assist with compliance training to the business and peers on significant regulatory matters
- Collect management information for the Assurance reports for the board and Executive Management on a monthly and quarterly basis across all activities, risks and issues.
Requirements of The Candidate
- 3-5 years post qualification experience within financial services, ideally within insurance.
- Strong knowledge of UK financial services' regulatory requirements particularly within the Conduct risk, and a good understanding of Prudential risks
- Strong knowledge of other regulations and trade bodies, including; Financial Crime, DPA, etc
- Strong influencing and persuasive skills to an Executive level
- Degree (Bachelor or Master)
- Compliance qualifications to Diploma Standard
- Excellent written and oral communication
McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.