Compliance Adviser

Compliance Adviser

Industry: Insurance (General)
Fully remote
£41,000

Role overview:

This position is for a Compliance Adviser to support and work alongside the Head of Compliance in the compliance functions related to regulatory requirements and internal policies while also, supporting the wider Risk and Compliance team in improving the businesses approach in relation to compliance.

THE ROLE:

• To support the Head of Compliance in ensuring that company adheres to, appropriate systems and controls relevant to its business, its regulatory activities and activities ancillary to those regulatory activities in order to comply with all relevant laws, regulations, rules and best practices.
• To work with the Head of Compliance and the wider company to identify, assess, manage, monitor and report on compliance risk exposures.
• To take the lead on identifying, assessing and communicating the occurrence and impact of regulatory and legislative change and, where called upon, support the business with implementing systems and controls to comply with that change.
• To take the lead on relevant aspects of the SM&CR, including (but not limited to) the maintenance of SoR’s and the company’s responsibilities map, undertaking fitness and propriety checks and submitting SMF & CF applications to the applicable regulator.
• To take the lead on Compliance-owned regulatory reporting obligations and otherwise support the business in meeting its regulatory reporting requirements.
• To be the primary point of contact on Compliance matters and provide support to the company’s Member Services department, with respect to general queries, complaints handling and vulnerable customers.
• To provide compliance support and sign-off of relevant communications, literature and financial promotions as required.

Email your CV or use the apply feature on this page. Email: [email protected]

KEY SKILLS: FCA, PRA, AML, Regulatory. Horizon Scanning, Financial Promotions