Due to a number of successful acquisitions this global insurance intermediary is seeking a seasoned compliance monitoring professional to join their senior management team. This newly created role will provide compliance oversight and leadership across their UK&I structure. Your key responsibility will be to deliver a robust monitoring framework that provides assurance to the Board and Senior Management Team and to deliver a programme of monitoring activities across systems and controls and conduct of business, that will identify that the firm meets its regulatory requirements or, if there are identified improvements to deliver recommendations for business change;
Scope of responsibilities include:
- To manage and oversee the Compliance Monitoring Team, collaborating with and drawing on resource from the wider UK&I Compliance Team as appropriate
- Design and delivers robust monitoring frameworks, methodologies and programmes
- Manages assigned projects and contributes to other projects as required
- Provides relevant and timely management information to the Chief Compliance Officer and the Senior Management of the UK&I businesses
- To contribute to the UK&I Compliance Plan
- To work with senior operational management to ensure that compliance systems and controls remain appropriate
- Works with the Risk Management Function to deliver support in relation to regulatory risk
- Creation of Compliance policies and procedures relevant to the regulatory and legal jurisdictions of each Trading Entity/Pillar
- Ensures compliance of self and team (as appropriate if the job holder has line management responsibilities) with all applicable legal, fiscal and regulatory obligations in the form of policies and procedures
- Ensures correct authorisation is obtained and processes followed when required by the Operating Entity and/or Group
Experience & knowledge required:
- Experience of working in Policy Advisory/Monitoring/Remediation/Assurance across different aspects of financial services/financial markets, prior experience in the insurance sector is highly desirable
- Able to apply judgement from a regulatory perspective to internal and market information
- Good analytical, interpretation, influencing and communication skills; with an ability to communicate and network effectively and influence internal parties
- Ability to analyse and evaluate and sound judgement in determining appropriate actions/solutions
- Dip CII or above, unless able to evidence significant relevant experience with a strong record of delivery to a high level
*This role offers hybrid working and can be based in numerous locations across the UK*
Eames Consulting is acting as an Employment Agency in relation to this vacancy.
