Our client offers a broad range of compliance services which a team of Regional Managers support with a
designated number of clients within their geographical remit. This role is home based with some travel to
client visits (COVID 19 permitting).
Key responsibilities include:
- Be responsible for managing and attending client visits to manage compliance services for nominated accounts
- Keep abreast of current issues in the financial regulatory markets, perform relevant research and develop knowledge required to deliver appropriate compliance support for client firms, including maintaining a reasonable level of continued professional development
- Ensure a client firm’s support requirements are identified and complete any gap analysis to ensure compliance plans are accurate and up to date.
- Manage the updates to appropriate compliance controls and templates
- Develop and maintain strong relationships with all stakeholders, including partners and 3rd party suppliers
- Actively promote the firm to relevant markets and identify opportunities to develop cross/up selling opportunities
- Support the business with the writing of compliance articles for external publication and share knowledge with the company and colleagues (working highly collaboratively)
- Maintain up to date knowledge and skills in the financial regulatory markets required to deliver excellent compliance support for the firm’s clients
- The candidate will have FCA regulatory experience with a strong knowledge of compliance
- Technical competence in the fundamental principles of Insurance (GI, Broker, MGA, Commercial)
- FCA (and / or PRA), ICO and appropriate CMA Regulations experience
- T&C knowledge
- Ability to consult and advise clients - with excellent stakeholder management skills
- Good people person - able to work with different levels and functions internally and on client visits
- Maturity to work independently - manage diary appointments, client visits, reporting and upholding of standards with no supervision
- Strong verbal and written communication skills
- Passion for the industry and regulation
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.