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Compliance Executive

Posted 2 February by Ambridge Harris Easy Apply Ended

Compliance Executive

Location: Cardiff

Salary: Negotiable

Ambridge Harris have been instructed to work with a market leading Insurance company to recruit a Compliance Executive. This is a newly created position due to a re-organisation within the compliance function to create a new 2nd line Compliance team.

The successful candidate must have experience in an FCA regulated Compliance role (ideally in General Insurance).

Skills and Experience

  • Sound knowledge of FCA regulation
  • Customer focused with strong communication skills
  • Strong analytical skills
  • Objective, timely and confident decision making skills
  • Strong report writing capabilities
  • Educated to Degree level or with relevant industry experience

Main Duties

  • Support the Senior Manager Compliance - Advisory as required
  • To identify, communicate and advise on changes in FCA and other associated regulatory and legislative requirements, so that the Group meets or exceeds current regulatory and associated legislative standards.
  • To contribute to the development of departmental procedures and compliance controls through regular reviews and updates including approval of relevant procedures, to ensure standards are in accordance with regulations and associated legislation.
  • Provide advice, guidance, direction and interpretation as regards compliance issues, for members of the organisation, in a timely and accurate fashion.
  • To provide compliance input into Group developments, including product launches through testing governance and controls, PPC submissions and approvals, fees against policy and Financial Promotions reviews
  • Project oversight and challenge
  • Horizon scanning - providing challenge on FCA consultation papers and advise on learning's from FCA Thematic reviews To pre-empt any changes to regulations and legislation to enable the business to react quickly and effectively.
  • Where directed review requirements of the FCA handbook, news articles and relevant CP and PS's summarising them/preparing a relevant report or bringing them to the attention of the Head of Compliance as necessary.
  • Regulatory Reporting - review and validate RMAR reports, produce internal reports for Boards/committees
  • Maintain the FCA Approved Persons register.
  • Maintain all documentation within a central evidence suite.

Due to the high volume of applications we receive it is not always possible to respond to unsuccessful applicants. Therefore if we have not responded to your application within five days please note that on this occasion your application has not been successful

Ambridge Harris is committed to equal opportunity and diversity. Ambridge Harris will not discriminate on unlawful grounds.

Reference: 34381773

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