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Compliance Officer

Posted 6 March by MW Appointments Ended

This role is working for a Lloyds broker based in the CIty. Suitable candidates for this position will already have a working knowledge of the FCA and insurance compliance and will have gained several years experience in a similar role. You will need to be able to cope with a busy work environment dealing with varied tasks throughout the day.
Reporting directly to Directors you will be responsible for the following duties:
·Monitor, analyze and communicate new regulatory developments and legislation that affect the business and operation of the company and update department's working papers as necessary.
·Reviewing and submitting new clients and insurers for Directors approval
·Implementing and monitoring compliance procedures
·Preparing the necessary paperwork for approval, conducting sanctions checks & contacting clients and brokers as necessary to obtain outstanding documentation
·Keeping the companies clients & insurers lists up to date
·Reviewing all company procedures & ensuring that these are FCA compliant
·Conducting files checks in both Southend & London and reporting back to Management
·Assisting preparing and implementing staff training programs
·Helping Directors with all ad hoc duties - these include preparing information for the company's internet and intranet sites, preparing letters and documentation for clients
·Assisting preparing and implementing staff training programs
·Take on relevant Controlled Functions

MW Appointments is acting as an Employment Agency in relation to this vacancy.

Reference: 34617906

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