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Senior Compliance Manager

Posted 2 February by Ambridge Harris Ended

Senior Compliance Manager

Location: Cardiff

Salary: Negotiable

Ambridge Harris have been instructed to work with a market leading Insurance company to recruit a Senior Compliance Manager. 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 will ideally have the experience of establishing a new department and developing staff within a team. You will be capable of challenging peers, develop relationships across all levels and presenting at executive level. You will be experienced in Financial Services compliance (ideally in General Insurance) and your past experience will need to create credibility and respect in the organisation.

Skills and Experience

  • Strong ability to develop and lead a small team
  • Customer focused with strong communication skills at all levels
  • Attention to detail - previous compliance Policy/Advisory experience preferable
  • Sound knowledge of FCA regulation, particularly ICOBS, & DISP requirements
  • Able to build open relationships and gain consensus with all stakeholders
  • Objective, timely and confident decision making skills
  • Educated to Degree level or with extensive industry experience

Main Duties

  • Support the Head of Compliance as and when requested.
  • Attendance at senior management meetings and committees.
  • Provide 2nd line challenge in ongoing project activity.
  • Ensure oversight of the Product portfolio (New & Existing) to ensure correct governance has been followed, approvals recorded, appropriate fees charged in line with Policy and Financial promotions approvals.
  • To review and validate RMAR reports before FCA submission
  • Produce relevant reports for Boards and Committees
  • Ensure resources available to provide 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 and be able to provide an impact assessment to the business.
  • Where directed review requirements of the FCA handbook, news articles and relevant CPS's summarising them/preparing a relevant report or bringing them to the attention of the Head of Compliance as necessary.
  • Responsibility for the maintenance of the FCA Approved Persons register.
  • Maintain all documentation within a central evidence suite.
  • To provide oversight of the Vulnerable Customer and Training & Competency policies
  • Ensure all policies are maintained and approved.

Key Performance Targets

  • Oversight and completion of the RMAR requirements.
  • Ensure FCA register is maintained and updated
  • Provide effective & timely reports to Senior Management & Committees
  • Provision of feedback to the business in a timely manner.
  • Provide regular business wide communications on relevant Regulatory updates and changes.
  • Ensure the maintenance of a centralised 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.

Job ref: 22464

Reference: 34382315

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