DESCRIPTION

To support the Head of Compliance and Compliance team supporting day-to-day compliance activities, managing junior members of the team team, attending meetings, producing reports and deputising as required.
Generic tasks
1 | ISO 27001 All Staff - to comply with the applicable Information Security Management System (ISMS) policies, including Clear Desk and Screen Policy, attend annual IT security training, Information Systems Usage policy. Managers only – ensure that all direct reports comply with all ISMS policies.
2 | Timesheet Ensure timesheets are accurately and diligently completed within the required timeframe. Manager’s only – in addition, ensure timesheets are authorised within the required timeframe.
3 | Conduct Standards – Tier 1 All Staff – to comply at all times with the PRA/FCA’s Conduct Standards, namely: 1.) to act with integrity 2.) to act with due skill, care and diligence and 3) to be open and co-operative with the FCA, the PRA and other regulators. 4) You must pay due regard to the interests of customers and treat them fairly. 5) You must observe proper standards if market conduct.

KEY PERSONAL SKILLS REQUIRED

1 | Accurate and analytical, with good attention to detail.
2 | Flexibility and ability to manage a varied workload.
3 | Ability to form good working relationships with internal and external stakeholders and work as part of a team.
4 | Positive attitude and willingness to learn

KEY TECHNICAL SKILLS/KNOWLEDGE/PROFESSIONAL QUALIFICATIONS REQUIRED:

1 | Strong educational background
2 | Previous work experience in office environment
3 | Insurance industry experience preferred
4 | Degree level education preferable desire to complete ACII qualification.
5 | Competent user of Microsoft Office (including Outlook, Word, Excel and PowerPoint).

1 | Assist the Compliance function in the day-to-day delivery of the compliance framework, compliance plan and compliance monitoring plan.
2 | To undertake compliance monitoring of syndicates’ activities, providing appropriate analysis and commentary. Examples include slip review monitoring and ICO registration monitoring.
3 | Liaise with managed clients to collect various forms of data, researching and querying where appropriate. Examples include sanctions screening, broker approvals, regulatory returns and the corporate gift register.
4 | Assist the Compliance team in the annual attestation process, sending attestations to managed clients and tracking responses.
5 | Log and record complaints, sanctions, broker remuneration and other referrals as required.
6 | Assist in the maintenance of Compliance systems such as Bridger (sanctions screening), REG (broker monitoring) and Caresmart (Complaints handling).
7 | To take notes during meetings and and circulate actions to team members as required.
8 | To maintain Broker lists and other records required by the compliance function.
9 | To participate in additional projects and activities that may arise
10 | Develop an understanding of the risks and controls relevant to the Compliance function, operate within the prescribed procedures and guidelines and report/discuss issues with the Compliance Manager.