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Compliance Role - Lloyds Broker

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Job Description - Compliance Role - Lloyds Broker

You will need to be able to cope with a busy work environment dealing with varied tasks throughout the day.

Reporting directly to Head of Risk & Compliance you will be responsible for the following duties:

Assisting in the company’s compliance duties which include:

  • Conduct Compliance monitoring and audits of the significant business processes to provide the business with assurance on FCA regulated business areas.
  • Ensure compliance requirements are adhered to.
  • Monitor, analyse and communicate new regulatory developments and legislation that affect the business and operation of the company and update department’s working papers as necessary.
  • Provide guidance/sign off on financial promotions.
  • Understand and implement oversight and audit requirements in accordance with SYSC rules.
  • Develop and lead the Compliance Plan as agreed by the Board.
  • Embed and communicate Lloyd’s requirements as appropriate.
  • To support and assist the AML Officer as required.
  • Lead projects and develop plans for implementation.
  • Help to develop and create internal policies/procedures.
  • Manage the breach register and evidence 'end to end’ resolutions.
  • Assist the Board of Directors to identify, manage and mitigate risks.
  • Liaise with the regulators (i.e FCA) or Lloyds in regards to queries or issues.
  • Monitor FCA / Lloyd's publications and evidence action taken or lessons learned or review completed.
  • Facilitating Insurer and client audits or reviews (i.e. Lloyd’s Binders etc).
  • Collate data and complete filing of various returns to Lloyd's and the FCA as required.
  • Attend external training events to enhance own knowledge and/or to assist with future legal/regulatory changes, reporting back to the Board and/or staff as appropriate.
  • Reviewing and submitting new clients and insurers for approval
  • Preparing the necessary paperwork for approval, conducting sanctions checks & contacting clients and brokers as necessary to obtain outstanding documentation
  • Keeping the companies clients & insurers lists up to date
  • Reviewing all company procedures & ensuring that these are FCA compliant
Original job Compliance Role - Lloyds Broker posted on GrabJobs ©. To flag any issues with this job please use the Report Job button on GrabJobs.
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