Jobs
>
London

    Compliance Officer - London, United Kingdom - Lockton

    Lockton
    Lockton London, United Kingdom

    1 week ago

    Default job background
    Description

    Job 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
  • United Trust Bank

    Compliance Officer Compliance

    2 days ago

    United Trust Bank London, United Kingdom

    **Responsibilities** · - Maintain and execute the Compliance Monitoring Plan, by conducting thematic and area specific reviews against KPI's; provide output in the form of written reports, suggesting severity of issue/s found, remedial actions, timescales and monitoring for closu ...

  • Career Legal

    Compliance Officer

    1 week ago

    Career Legal London, United Kingdom

    Job Details · Compliance Officer · Up to £45,000pa + Benefits · London, Permanent · International Law Firm · My client, a top international law firm, is actively recruiting for a risk and compliance professional to join them on a permanent basis in London - working as their new C ...

  • PineBridge Investments

    Compliance Officer

    1 day ago

    PineBridge Investments London, United Kingdom

    PineBridge Investments is seeking a Compliance Officer to join its EMEA Compliance team and assist with the execution of its compliance program and support PineBridge's financial crime prevention framework. This role will be based in PineBridge's London office and report into the ...

  • Oliver James Associates

    Compliance Officer

    4 days ago

    Oliver James Associates London, United Kingdom

    **Job Title**:Compliance Officer · **Duration**:12 months · **Rates/Salary**:£75,000-90,000 FTC plus 17.5% bonus · **Location**:London based (2-3 days in office per week, plus home working) · **The Role**: · - Ensuring that the Advisory and Assurance Compliance function within th ...

  • eFinancialCareers

    Compliance Officer

    1 week ago

    eFinancialCareers London, United Kingdom

    An exciting opportunity has come up with an international (multi product) Broker/Trading business, who are looking for someone to join their Compliance team in a broad and generalist compliance role based in London. · The role will involve working closely with the front desks, op ...

  • Barclay Simpson

    Compliance Officer

    2 days ago

    Barclay Simpson London, United Kingdom

    **Compliance Officer**: · - London · - £400 - £500 Per day · - Job type: Contract · - Sector: Financial Services · - Job reference: MPC41130 · - Advising on domestic compliance rules and regulations · - Conducting compliance monitoring reviews · - Engaging in trade surveillance a ...

  • Talent Race

    Compliance Officer

    1 week ago

    Talent Race London, United Kingdom

    We are currently recruiting for a Compliance Officer to join a leading Healthcare Recruitment organisation based in Central London. · This is a fantastic opportunity for an experienced professional to join an established organisation and become part of a team that is responsible ...

  • eFinancialCareers

    Compliance Officer

    1 week ago

    eFinancialCareers London, United Kingdom

    **PART TIME COMPLIANCE OFFICER (2 DAYS P/WK)** · Temporary (8 months maternity cover) · **The Company**: · Our client is a Fintech start-up, who is a specialist provider of carbon data, analytics, insight and financial products that enable financial institutions to achieve both f ...

  • MDM Consultants Ltd

    Compliance Officer

    1 week ago

    MDM Consultants Ltd London, United Kingdom

    Are you an experienced Compliance professional who desires to join a well-established and forward-thinking buy side/asset management firm as part of their growing Compliance team? · **Senior Compliance Officer / Compliance Officer** · **Location**:London (Flexible Working / Hybri ...

  • eFinancialCareers

    Compliance Officer

    1 week ago

    eFinancialCareers London, United Kingdom

    Job Summary · - London · - Permanent · - JN · - Feb 20, 2023 · - £50k - £55k · **Job Description**: · Our client are a leading Global Asset Manager who are looking for a compliance officer to join the growoing compliance team · To assist the Compliance Monitoring team with the e ...

  • Transport for London

    Compliance Officer

    1 day ago

    Transport for London London, United Kingdom

    **Organisation** · - Road Network Compliance · **Job** · - Administration · **Position Type** · - Full Time · **Job Title** - Compliance Officer · **Salary **- £31,250 · **Pay Band** - Band 2 · **Location **- Palestra · **Contract Type** - TfL Permanent · **Working Pattern** - 35 ...

  • Red Snapper Recruitment

    Compliance Officer

    3 days ago

    Red Snapper Recruitment London, United Kingdom

    **COMPLIANCE OFFICER** · Reporting to the Compliance and Operations Supervisor, the Compliance Officer is responsible for the administration of the business's compliance requirements. You will support the compliance function by ensuring all associated processes are followed and r ...

  • Certus Sales Recruitment

    Compliance Officer

    4 days ago

    Certus Sales Recruitment Greater London, United Kingdom

    **Compliance Officer - Cloud Technology** · **London / Norwich - Hybrid** · **40-45k Base + Executive Benefits** · Our client's award-winning hybrid cloud connectivity platform provides the link between traditional networking infrastructure and cloud services. This trailblazing c ...

  • MS Amlin

    Compliance Officer

    2 days ago

    MS Amlin London, United Kingdom

    About the Job · The Compliance Officer will form part of MS Amlin Underwriting Limited's (MS AUL) Compliance function. The role holder will support the delivery of the function's Compliance plans, including supporting the work undertaken by the team in respect of financial crime ...

  • CBCX Group Limited

    Compliance Officer

    1 day ago

    CBCX Group Limited London, United Kingdom

    **Position Summary** · CBCX Group Limited is seeking a motivated and detail-oriented Compliance Officer to join our team. This role is essential in ensuring our company operates within the boundaries of regulatory requirements and maintains the highest standards of integrity and ...

  • iProov

    Compliance Officer

    1 week ago

    iProov London, United Kingdom

    Compliance (Projects) Officer · If you'd like to make the online world a safer place, come and join us. · **About iProov**: · iProov is the world leader in face biometric verification. We establish trust in remote users and deliver effortless, customer centric, device independent ...

  • Young Wellbeing Hub

    Compliance Officer

    4 days ago

    Young Wellbeing Hub London, United Kingdom

    CAMHS Professionals are the leading specialist staffing provider within children's mental health, located in the vibrant community of Hackney Wick. · We are seeking an organised, and self-efficient individual to join our close knit team as the new Compliance Officer where you wil ...

  • Page Personnel HR

    Compliance Officer

    1 week ago

    Page Personnel HR London, United Kingdom

    Based near excellent transport links, in leading London School Federation, an exciting opportunity for a Compliance Officer to help out in head office. · **Client Details** · A leading London School Federation. · **Description** · The main responsibilities for the Compliance Offi ...

  • Australasian Recruitment Company

    Compliance Officer

    3 days ago

    Australasian Recruitment Company London, United Kingdom

    **Compliance Officer** · **Salary: £25,000 - £28,000** · **Responsibilities**: · - Ensuring checks are performed on qualifications, Teacher Reference Numbers, ID documents and the applicant's visa status · - Ensuring the full process of checking and vetting documents is completed ...

  • Harrison Holgate

    Compliance Officer

    1 week ago

    Harrison Holgate London, United Kingdom

    A brand new Compliance Officer position (12 Month FTC) is available with a market leading Lloyd's Market Insurance specialist · **Compliance Officer (12 Month FTC)** · **London/Hybrid** · **Leading Lloyd's Business** · **Salary - Up to £ Bonus + Excellent benefits** · Acting as p ...