Jobs
>
London

    Compliance Manager - London, United Kingdom - Davies

    Davies
    Davies London, United Kingdom

    1 week ago

    Davies background
    Description

    Job Description

    The role

    The candidate will support the Head of Compliance, and the compliance team to enhance, maintain and deliver the Davies Insurance Services regulatory compliance framework. This will involve oversight of the Intermediary Services' network of Appointed Representatives. The role will also cover the oversight of the global Insurance Services entities acting as a group oversight function.

    Key responsibilities

    • enhance, monitor and maintain adequate and appropriate systems and controls to ensure all Davies Insurance Services' (DIS) regulated entities and Appointed Representatives meet their regulatory requirements.
    • manage the regulatory requirements of DIS stemming from the FCA rules relating to General Insurance and Consumer Credit Broking activities, including the embedding of the Consumer Duty.
    • oversee the compliance monitoring plan (CMP) for DIS, including each AR monitoring plan and to ensure it is managed in accordance with the company objectives. To also provide meaningful, timely MI to the Compliance and Governance Director and the other Board Directors/Risk Committee members.
    • provide advice and hold responsibility for the management of any parts of the FCA compliance plan or notification letters received from the FCA. To report progress to the Board members of the regulated company on a regular basis.
    • oversee the production of board reports for each AR and DIS compliance board meetings, Group Risk & Governance Board; review Insurer audit reports and draw recommended remedial actions to the AR.
    • analyse the risk register, produce exception reporting highlighting all red and amber risks on the dashboard to the respective regulatory Board.
    • perform risk assessments and analyse current risks and to identify any potential risks with a view to proactively support the risk owners to mitigate the risk. Performing risk evaluations working with each principal risk owner within each regulated entity with primary focus on the risks associated with the AR estate. To evaluate all previous handling of risks and comparing potential risks with the criteria set out by Risk Committee in line with regulatory and legal requirements.
    • for the Head of Compliance when required, attending meetings, being the point of contact, providing subject matter expertise.
    • a culture of learning and development, encouraging the individual team members to develop and expand their technical compliance knowledge and capabilities.
    • work closely with the Head of Compliance, Compliance team, CEO Intermediary Services, CEO Insurance Services, Finance Director, other controlled function Directors, Head of Legal, Legal Counsel, Head of Client Solutions and Head of Business Development.
    • build strong relationships with the key stakeholders, including CEO's, Directors, and Managers of DIS' Appointed Representatives and other clients. To work closely with the FCA, FOS, Lloyd's of London, and other useful organisations such as MGAA and BIBA.

    Key skills and experience required.

    • The candidate should have circa 5 years' work experience and previous management experience preferably in a compliance function, within the general insurance sector.
    • level interpersonal skills – ability to build successful, mutually beneficial business relationships.
    • and People Management skills.
    • communication skills in a variety of mediums including written; presentation and oral skills.
    • and negotiation skills.
    • organisational and measuring skills.
    • detailed understanding of the FCA rules such as PRIN, ICOBS, SYSC, PROD and SUP Supervision.
    • good awareness and understanding of the Consumer Duty requirements for firms.
    • candidate should have a clear understanding of the implications of IDD, GDPR, Brexit and the importance of applying the Training and Competence requirements within DIS and across the network of ARs.
    • a sound understanding of the MGA model specifically in relation to the regulatory oversight of appointed representatives and an understanding of the outcomes from the FCA's Thematic review (TR16/6: Principals and their appointed representatives in the general insurance sector).
    • a role model for the compliance team and supporting the Head of Compliance with the running of the team.
  • Clear IT Recruitment Limited

    Compliance Manager

    2 days ago

    Clear IT Recruitment Limited London, United Kingdom

    **My client, a Top 50 International firm, is recruiting for a Compliance Manager to join their law firm in Finsbury, London. The firm is happy for 3 days of remote working per week.** · **Role overview** · To support the Compliance team to ensure the firm remains compliant with A ...

  • eFinancialCareers

    Compliance Manager

    6 days ago

    eFinancialCareers London, United Kingdom

    We are recruiting for growing Institutional Brokerage firm looking to hire a Compliance Manager to assist with the day to day running of a busy compliance function. · **Main Responsibilities** · - Trade monitoring to support compliance with the firm's regulatory monitoring requir ...

  • eFinancialCareers

    Compliance Manager

    1 week ago

    eFinancialCareers London, United Kingdom

    **Tradition is currently seeking to appoint a Compliance Manager to be based in London.** · **Role synopsis and key accountabilities within the Compliance Manager position**: · The Tradition Managed Services (TMS) Compliance Manager is a key member of the TMS Compliance team supp ...

  • eFinancialCareers

    Compliance Manager

    1 week ago

    eFinancialCareers London, United Kingdom

    **Compliance Manager - Insurance** · **City of London** · **Permanent** · **£dependant on experience** · cer Financial are working alongside an International insurance company, who are looking for a Compliance Manager to join them on a permanent basis and support the Head of Comp ...

  • Supporting Education

    Compliance Manager

    1 week ago

    Supporting Education London, United Kingdom

    Compliance Manager - Educator Talent Solutions Division · **Salary**: £37,825-£44,500 (DOE) & competitive benefits · Contract type: Full Time, Permanent · Location: Southern Region (London, Hertfordshire, Northampton Milton Keynes, etc), with regular travel between Kingston and W ...

  • Colyer Dodd & Co Ltd

    Compliance Manager

    1 week ago

    Colyer Dodd & Co Ltd London, United Kingdom

    Our client is an established, specialist global fund manager, which is looking to recruit an experienced and capable individual to report to the General Counsel and take overall responsibility for the day to day aspects of compliance. · Working within this small but highly profes ...

  • eFinancialCareers

    Compliance Manager

    1 week ago

    eFinancialCareers London, United Kingdom

    Our client is FCA Regulated, full scope AIFM, Private Equity Investment firm based in London, dedicated to Technology Sector and Digital Asset investments. · They are seeking a Compliance Officer / General Counsel (GC) with a strong background in Compliance, and experience workin ...

  • Avencia Consulting

    Compliance Manager

    6 days ago

    Avencia Consulting London, United Kingdom

    **About us** · Avencia Consulting are currently recruiting on behalf of a leading Specialty Insurer based in the City, who are looking to hire a Compliance Manager to join. · The Company currently writes lines of business including; specialty insurance: aviation & aerospace, ener ...

  • eFinancialCareers

    Compliance Manager

    1 week ago

    eFinancialCareers London, United Kingdom

    Exciting opportunity to be a member of a business-aligned compliance team instrumental in supporting Macquarie Capital, private business for EMEA. The role is business aligned and you will have responsibility for oversight and execution of compliance monitoringcoupled with transa ...

  • eFinancialCareers

    Compliance Manager

    1 week ago

    eFinancialCareers London, United Kingdom

    Who we're looking for · We are looking for a Compliance Manager who will be reporting into the Head of Global Investments and Product Compliance · About Schroders · We're a global investment manager. We help institutions, intermediaries and individuals around the world invest mon ...

  • Lorien

    Compliance Manager

    20 hours ago

    Lorien London, United Kingdom

    **Compliance Manager - Outside IR35 - Hybrid Working** · Our client, a leading global Insurance firm, are currently looking to hire a Compliance Manager to join the team on an Outside IR35 contract basis. This role will be for an initial 6 months, and hybrid working with the clie ...

  • eFinancialCareers

    Compliance Manager

    1 week ago

    eFinancialCareers London, United Kingdom

    Responsibilites: · To possess a good, up-to-date understanding of both the PRA and FCA regulatory requirements in particular in relation to COBS, execution only investment business, COBS 10 appropriateness assessments, training and competence, GDPR, MiFID2 and DISP. · - Remain up ...

  • eFinancialCareers

    Compliance Manager

    1 week ago

    eFinancialCareers London, United Kingdom

    Our client is a specialist hedge fund, HQ'd in London. After recent good performance and the recent launch of new funds, they are now looking to add a Compliance Manager to their existing team in London. · Reporting into the Chief Compliance Officer, the Compliance Manager will b ...

  • Colyer Dodd & Co Ltd

    Compliance Manager

    6 days ago

    Colyer Dodd & Co Ltd London, United Kingdom

    This exciting and broad real estate investment management based compliance role will use your communication and influencing skills; your ability to work as a member of a team and on your own initiative and will require you to utilize your analytical talentsto produce reports for ...

  • eFinancialCareers

    Compliance Manager

    1 week ago

    eFinancialCareers London, United Kingdom

    A boutique Real estate Investment Manager are looking for a Compliance Manager to support the Head of Compliance. They are looking for someone with a strong generalist compliance background within an investment/asset Manager or Hedge fund to join them. Inthis role, you will be em ...

  • The Legists

    Compliance Manager

    1 week ago

    The Legists London, United Kingdom

    Our client is an international law firm who is currently looking for a compliance manager to join their global compliance team. · This role will be best suited for someone who is looking to join a team on a permanent basis. · Key Responsibilities: · - Responding to complex regula ...

  • Pure Resourcing Limited

    Compliance Manager

    1 week ago

    Pure Resourcing Limited London, United Kingdom

    **Compliance Manager - Property Finance Lender** · A newly created opportunity is available for a Compliance Manager to join a highly successfully property finance lender based in London. Specialising within BTL and Bridging Finance lending, our client prides itself on service an ...

  • Concept Resourcing

    Compliance Manager

    1 week ago

    Concept Resourcing London, United Kingdom

    **Compliance Manager** · **3-month contract - NHS Trust, London · £270 per day · Onsite** · **Overview**: · You will be responsible for providing a lead in all matters related to auditing and ensuring that the Estates and Facilities Directorate and The Trust's PFI partners are fu ...

  • eFinancialCareers

    Compliance Manager

    1 week ago

    eFinancialCareers London, United Kingdom

    Compliance Manager - Insurance · Perm · £dependant upon experience · My client is a General Insurance business, who are based in the UK, and support a UK and International clientele by offering a range of Personal and Commercial Insurance products. · Due to recent growth, they ar ...

  • eFinancialCareers

    Compliance Manager

    1 week ago

    eFinancialCareers London, United Kingdom

    A niche Investment business is looking to hire a Compliance Manager, specialising in Insurance, to join their small Compliance function. The role is a Generalist Compliance role that will work closely with the Legal team and advise the business on a dailybasis. · **Main Responsib ...