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    • Assistant Compliance Manager - City of London - Oliver James

    Oliver James
    Oliver James City of London

    2 months ago

    Description
    Assistant Compliance Manager - 12 month FTC
    This position is a 12 month fixed term contract.
    The role

    Support the Senior Compliance Managers in the delivery of functional strategic plans by handling key day-to-day tasks essential to the operation of the Compliance function.

    Assisting with the update and communication of all Compliance policies, standards of conduct and procedures to the business; and helping to organise training where necessary.

    Assisting with the update and communication of all Compliance policies, standards of conduct and procedures to the business; and helping to organise training where necessary.

    Researching and understanding changes in legislation, and how they would affect the business and communicating changes to the business.

    Responsible for supporting the Senior Compliance Managers in ensuring that all activities performed, particularly Compliance Monitoring - are conducted in accordance with relevant regulations and in accordance with internal standards and controls.

    Key accountabilities

    Collaborating with the Compliance team on topics for thematic reviews, deep dive reviews and monitoring, and carry out monitoring activities.

    Plan and lead on identified reviews and projects, liaising with the compliance team and wider business as required.
    Monitoring the Compliance Calendar and ensuring that all activities are completed on time.
    Monitoring the dedicated Compliance Inboxes to assess and distribute emails to other team members as appropriate.

    Breaches Reporting:

    Assist CMs to log all Breach reporting to a single location (and ongoing maintenance of the central Breach Log) and to maintain the Breach Log.

    To Monitor the Compliance inbox and log Incidents reported and escalate these to the SCMs.
    Assisting with creating and publishing the quarterly Compliance updates to the business in Compliance Focus
    Reviewing Gifts and Hospitality Requests, providing approval or gathering further information as necessary.

    Compliance Monitoring:

    Liaise with the Compliance Analyst to undertake regular review activity for quarterly reporting, including: ELTO reporting, contract certainty, conduct MI; and to undertake other ad hoc review tasks as required by the SCM.

    Assisting with Product Governance reviews and assessments.
    Coordinating the annual Conflicts of Interest declarations.
    Assisting with the implementation of any new regulatory requirements.
    Skills & experience
    Minimum 4 years proven experience working in UK Compliance functions within the General Insurance or Personal Lines sector.
    Experience of Consumer Duty.
    Able to interpret, understand and apply all relevant regulations.
    Experience of dealing with relevant regulatory bodies (e.g. FCA, Financial Ombudsman Service or overseas Ombudsman services).
    Well-developed Team-working skills.
    Ability to communicate effectively with key stakeholders
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