Compliance Officer

Expiring today

Templine Recruitment Agency Ltd
29 Mar 2018
21 Apr 2018
Contract Type
Full Time

To support the management of the Society’s compliance function by ensuring that it has systems and controls in place that adequately measure and manage the obligations it has under the Regulators’ and EIOPA’s regulatory regime.

Main Duties


• To monitor regulatory development and assess possible significance to the Society.
• To increase awareness of relevant laws, rules and standards, by ensuring Senior Leaders and employees are aware of their regulatory responsibilities, and maintain a positive regulatory risk culture, through reports and presentations.
• To monitor compliance with business practice and policy.
• To lead the development of policies and management responses for emerging regulation/legislation.
• To record information regarding key internal issues/breaches, ensuring that ratification and preventative action has been taken.
• To oversee the completion of mandatory training.
• To provide compliance inductions to all new members of staff.
• To design and deliver training for regulatory change as required.
• To maintain and execute the Compliance Monitoring Plan, conduct thematic reviews across the business and provide written reports that advise issues identified and potential remedial action required.
• To record all complaints, reviewing cases and resolving disputes
• To review Financial Promotion materials ensuring all mandatory regulatory requirements are adhered to.
• Preparation of approved person forms and records accordingly.

• To support the Risk and Compliance Director to raise awareness of risk management policies and processes to ensure that risk is managed in an effective manner across the Society.
• To provide support to the Risk and Compliance Director in delivering quarterly risk report updates.
• To support the Risk and Compliance Director in the development of risk management within the Society so that it meets the requirements of Solvency II regulation.

Additional Duties
• Assist the Risk and Compliance Director with company secretarial duties to include, preparation for Board and Committees meetings and minute taking.

Core Competencies:

• Commitment
• Communication Skills Customer Focus
• Planning and Organising
• Attention to detail
• Strategic awareness
• Problem solving
• Analytic

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