Compliance Monitoring Lead

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The Compliance Monitoring Officer will support the delivery and ongoing enhancement of the Antares Commercial Compliance Monitoring Programme, providing independent second-line assurance over compliance controls and regulatory obligations. The role will involve risk-based monitoring, thematic reviews, deep dives, file and control testing, action tracking and reporting across multiple entities and jurisdictions, primarily supporting AGML, AMAL and Antares Re. Working closely with Compliance, Risk Management and first-line business owners, the role will help ensure compliance risks are effectively identified, monitored, reported and remediated, while supporting a strong compliance culture across the business.

Key Accountabilities

• Deliver and continuously improve the Compliance Monitoring Programme, ensuring activity is risk-based, well-documented and aligned to the Compliance Risk Assessment and Control Register.
• Develop and maintain the compliance monitoring plan, methodology, templates, trackers and reporting processes.
• Complete assigned monitoring reviews within agreed timeframes and escalate delivery risks, delays or concerns promptly.
• Conduct monitoring reviews, thematic reviews, deep dives, file testing, evidence reviews and control effectiveness testing.
• Assess the design and operating effectiveness of compliance controls, ensuring all testing is supported by clear evidence and documented conclusions.
• Identify material control gaps, repeat issues, systemic weaknesses and emerging risks, and recommend appropriate remedial actions.
• Support the Compliance Risk Assessment process by linking monitoring outcomes to key compliance risks, controls, regulatory obligations and risk metrics.
• Track monitoring actions through to resolution, ensuring actions have clear owners, timescales, materiality ratings and validated closure evidence.
• Produce accurate, timely and audience-appropriate reporting, MI, dashboards and KPI updates for management, committees, boards, audit and regulatory purposes.
• Ensure reporting highlights trends, overdue actions, repeat issues, emerging risks and the status of remediation activity.
• Support the effective operation of the Three Lines of Defence model by assessing first-line control effectiveness and constructively challenging business owners.
• Promote a positive compliance culture and provide practical compliance guidance, training and advocacy where required.
• Contribute to the enhancement of the Compliance Monitoring Framework, ensuring it remains aligned to regulatory requirements and evolving expectations.
• Monitor key regulatory control areas, including TOBAs, delegated authority controls, sanctions, TPRM, complaints, compliance training, SMCR/Fit & Proper, and gifts and hospitality.
• Support monitoring of Consumer Duty outcomes, including product reviews, broker and coverholder information sharing, complaints handling, regulatory deadlines and customer outcome MI.
• Build effective relationships with Compliance, Risk Management and first-line stakeholders while maintaining appropriate second-line independence.
• Present monitoring findings clearly, support conclusions with evidence and escalate material issues to the Head of Compliance and relevant governance forums.
• Maintain high professional standards, including confidentiality, objectivity, integrity, mandatory training completion, data protection, information security, Conduct Risk, Consumer Duty, Health & Safety and ongoing professional development.

Knowledge, Qualifications & Demonstrated Experience

• Relevant compliance, insurance, legal, audit, risk or regulatory qualification, or equivalent experience.
• Experience in insurance, reinsurance, financial services compliance, internal audit, risk management or control testing.
• Knowledge of relevant insurance regulatory frameworks, including FCA, PRA, Lloyd’s, BMA and Consumer Duty requirements.
• Strong understanding of the Three Lines of Defence model, the Compliance function and key regulatory obligations.
• Broad knowledge of delegated authority, underwriting governance, financial crime, sanctions, data protection, regulatory reporting, outsourcing, conduct risk, claims and complaints oversight.
• Ability to translate regulatory and compliance knowledge into effective oversight, monitoring and assurance activity.
• Experience using compliance, risk management or audit systems, with Decision Focus or similar system knowledge desirable.