Compliance Officer - TPD 358

Job Type: Compliance

Salary: A salary in the region of £100,000 is nevisaged for the relevant experience

Location: Central London and Essex

Sector: Compliance and Risk

Job Description

Our Client is an established Lloyd’s broker based in the City and Southend who is currently looking to recruit a Compliance Officer to join their successful team. This is a well-respected Lloyd’s insurance broker that prides themselves on the service they produce.

Suitable candidates for the position will already have a working knowledge of the FCA and insurance compliance and will have gained 5 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, analyse 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

    Person Profile

    This is a pivotal position within the company and therefore demands a responsible attitude. The ideal candidate will need to have strong computer skills. Good communicational and organisational skills are also essential.

Other desirable skills are:

  • Advanced knowledge of Microsoft products (Word, Excel and Outlook) or similar software applications.

  • Ability to manage time, prioritise and ensure that deadlines are met without compromising quality.

  • Ability to understand and execute oral and written instructions.

  • Ability to communicate effectively and professionally both verbally and in writing with clients, insurers and other associates.

    Our Client is committed to continuous professional education and will offer study support when required.

Further details on application to:

mo@tpdassociates.co.uk