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    Compliance Officer - London, United Kingdom - Lockton

    Lockton
    Lockton London, United Kingdom

    1 week ago

    Default job background
    Description
    Purpose

    Help develop Lockton's response to emerging regulatory risk and developments in the regulatory landscape.

    Contribute to Compliance's assurance activities that ensure the business has the procedures, skills and tools it needs to deliver services and meet its strategic objectives.

    To help develop and maintain adequate policies and procedures to ensure compliance with the FCA Handbook across the business, provide training and guidance on the regulatory framework and provide support to all functions within the Risk & Compliance Unit.

    Key Tasks & Responsibilities

    Provide day-to-day support to the Head of Compliance
    Escalating major issues and/or highlighting where trends exist to the Head of Compliance
    Implement best practice strategies and to gain knowledge of office specific business activities.
    Contribute to the overall development of the Compliance function's strategy
    Drive forward development of Management Information and Business Insights

    Consider the impact of any matters of concern or changes that arise in the business, from our regulators, the insurance market or European Commission.

    Responsible for horizon scanning and identification of emerging regulatory issues
    Ensure Lockton has in place robust and effective procedures to mitigate regulatory risk
    As required, responsible for regulatory submissions via Connect, Gabriel and any other FCA notifications

    Record breaches and complaints, ensuring appropriate records are maintained and lessons learned with corrective actions implemented to prevent future problems.

    Requirements

    Essential

    A solid understanding of the regulatory framework, particularly SMCR and ICOBS and their application within the business.
    Ability to identify opportunities for business efficiency, develop and implement internal systems and controls.
    Relevant transferable experience gained from a compliance role
    Ability to build effective and positive business relationships, and deliver solutions to stakeholders
    Ability to be professional and tactful in negotiation – to listen and be influential in achieving objectives
    Proven ability to be flexible and adaptable to an ever-changing environment
    Proven ability in problem solving skills, including the ability to resolve complex issues and devise actionable solutions
    Ability to compile, analyse and interpret management information and data to facilitate decision making

    Desirable

    An understanding of or working knowledge of the legal and general principles applicable to insurance
    An understanding of or working knowledge of the nature and structure of the insurance industry
    An understanding of or a working knowledge of the broking process
    An understanding of or a working knowledge of how to mitigate E&O
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