Compliance Manager

  • IO Associates
  • London, UK
  • Oct 31, 2017
Full time Accounting

Job Description

Panoramic Associates are delighted to be partnered with a Tier 1 Insurance Broker based in the city, on their search for a Compliance Manager. This would be a great opportunity to join a dynamic insurance company.

The role of Compliance Manager will involve responsibility for overseeing the regulatory compliance and risk management framework for business, working closely with senior leadership and following the approved Risk Governance Frameworks in place.

Responsibilities:


Monitor industry and regulatory developments relevant to the financial planning business
Interpret regulatory rules and work with the business to ensure compliance is maintained as regulations change
Provide advice to the business on Compliance policies
Oversee the client file monitoring activity to ensure the T&C Scheme is functioning properly.
Work with the business to ensure understanding and adherence to internal policies and procedures
Provide accurate and timely management information, analysis and reports to the CCO and senior management
Ensure required reporting to the FCA and any other third parties is completed as required
Support the activity with respect to risk management and oversight
Identify regulatory and business risks and develop the control environment accordingly

Experience Required:

A strong understanding of FCA regulation
Experience of working in a compliance/risk department
Pensions and investment product knowledge and experience
Knowledge of any relevant EU legislation
Excellent interpersonal skills
Strong team player with good organisation, planning and leadership skills

If you have experience carrying out the above responsibilities and you match this skill set, then please submit your CV to be considered.