Senior Compliance Executive

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Our growing Commercial Broking client is looking for a dedicated Senior Compliance Executive to support the day-to-day business operations. You’ll…..

Our growing Commercial Broking client is looking for a dedicated Senior Compliance Executive to support the day-to-day business operations.

You’ll play a crucial role in ensuring they meet all Regulatory requirements by undertaking Compliance monitoring and supporting a range of Compliance-related activities.

If you’re passionate about upholding high standards, contributing to a collaborative team, and making an impact in a growing environment, this is an ideal opportunity for you.

Options for full and part time working are available.

Key Responsibilities of the Senior Compliance Executive include:

• Tracking of Compliance actions as part of the annual Compliance Plan and report on the progress throughout the year
• Develop and maintain good working relationships with the business and promote a strong and positive Compliance culture and respond to general queries to support the business
• Development and/or improvement of policies and procedures and processes to ensure they continue to support the business in complying with Regulatory requirements
• Undertake Regulatory horizon scanning and impact assessments
• Maintenance of the Compliance training system and monitoring of staff completion as well as further development of required courses
• Communicate relevant Regulatory information to business areas in a clear and concise manner and provide oversight of any resulting actions
• Tracking and monitoring of Compliance performance
• Maintain an overview and knowledge of Regulation, expectation, good market practice and requirements and to report on material changes
• Maintain Compliance with any applicable UK or International statutory or Regulatory obligation.

To be a successful Senior Compliance Executive you will demonstrate:

• Previous experience in a Compliance role for a Commercial Broker, Insurer or Managing Agent.
• Strong Regulatory and market awareness.
• Demonstrate an understanding of the FCA’s Rules, as well as knowledge of complaint handling processes.
• Confidence in your knowledge and expertise.
• Strong numerical and analytical skills.
• Resourceful and able to apply own initiative in resolving issues.
• Strong planning and organisation skills with a keen attention to detail.
• Proactive and personable approach.

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