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Compliance Assistant
Compliance Assistant:
We are working with a market leading insurance company who are seeking an ambitious and highly motivated compliance professional to help foster a strong compliance culture across the Group, support the effective delivery of the compliance function, and contribute to the achievement of the firm’s strategic objectives. The successful candidate will be an integral member of the Regulatory Compliance team, providing high-quality, pragmatic, deadline-focused support to the company and its subsidiary undertakings. Working closely with stakeholders across the business, the role will act as a trusted Compliance advisor, helping to navigate regulatory requirements, manage compliance risks and embed robust compliance practices throughout the organisation. The successful candidate will demonstrate strong organisational skills, a proactive approach and the ability to deliver high-quality outcomes within assigned timeframes.
- Undertaking horizon scanning activities across all UK entities and licensed territories, identifying and assessing emerging regulatory developments.
- Supporting the development, enhancement and delivery of compliance training, ensuring content remains aligned with current regulatory expectations and business requirements.
- Assisting in the development, review and maintenance of Group Compliance Policies and Procedures, ensuring they remain aligned with applicable regulatory requirements and are effectively managed through the Decision Focus platform.
- Assisting in the maintenance of the SM&CR framework across relevant entities, including the preparation and submission of regulatory applications and SMF approvals.
- Ensuring the accurate, complete and timely submission of all regulatory returns, including FCA RMAR submissions. Providing effective challenge and oversight of regulatory reporting processes and controls to promote strong data quality, governance and regulatory compliance.
- Maintaining oversight of international regulatory submissions, ensuring consistency, accuracy and completeness across all jurisdictions.
- Monitoring and assessing compliance with applicable regulatory requirements, including FCA Consumer Duty obligations and outcomes.
- Coordinating and managing responses to regulatory enquiries, requests for information and supervisory interactions as required.
- Coordinating and completing overseas regulatory filings and licence renewals, including the preparation of high-quality supporting documentation.
- Assisting in the development, enhancement and maintenance of departmental registers, controls and governance frameworks where required.
- Promoting a strong culture of compliance awareness and ethical conduct across the organisation.
- Contributing to the preparation of quarterly Compliance Committee papers and attending Compliance Committee and Board meetings as required.
Qualifications
- Strong academic background (minimum 2 A Levels or equivalent).
- Relevant professional qualifications desirable (or a willingness to obtain this in the future), but not essential.
Knowledge
- Good understanding of the London Market insurance industry is highly desirable.
- Good knowledge of regulatory requirements.
- Good report writing skills and knowledge of producing reports using Microsoft Word, PowerPoint and Excel
Experience
- Experience in a compliance function within the London Market insurance is preferable
- Evidence of managing projects in a timely manner, to deadlines
- Good interpersonal skills, allowing effective interaction with individuals and experience in being able to influence others.
- Good judgement and ability to arrive at accurate decisions in a timely manner.
- Strong attention to detail and precision in deliverables.
- Ability to work well within a team but also be self-driven, organised and self-motivated to deliver planned activities in a timely manner
- Experience in working with large volumes of information
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