Compliance Executive

Emerald Group
London, UK
15 Sep 2019
22 Sep 2019
Contract Type
Full Time
Job Purpose:
  • To assist the Company Secretary/Head of Governance, providing compliance services to its managed syndicates and its service companies, together with Co Sec support as and when required

Key Responsibilities:

Compliance and Regulatory:
  • To support and assist the Compliance Function, together with the Head of Governance in the fulfilment of the role in respect of compliance matters
  • Assist in the drafting and complying of Board and Committee packs
  • To draft and assist with regulatory filings to Lloyd's, the PRA and FCA
  • To assist with the consideration and analysis of new and applicable regulatory rules, codes and guidelines as and when they are published and how they might impact on the business
  • To undertake compliance monitoring work across the syndicates and prepare monitoring reports
  • Assist in the development and/or improvement of policies and procedures and processes to ensure they continue to support the business in complying with regulatory requirements
  • Assist in the development and maintenance of the compliance pages of the intranet
  • Monitor regulatory developments and promote team and management awareness and advise the business of regulatory changes as required
  • Support the Internal Audit Function (Deloittes) with the managing of the Internal Audit of CMAL
  • To maintain the Gifts and Hospitality register
  • To assist with the administration of Broker TOBAs
  • To create and circulate the Lloyd's Business Timetable to the wider business

Co Sec/General:
  • To cover ad-hoc company secretarial as and when required
  • The collating and distribution of Board and Committee packs
  • Assistance drafting the corporate calendar

  • Able to work both independently with limited supervision and as part of a team
  • Able to respect the need for discretion and handle confidential information
  • Good communication skills
  • Good working knowledge of MS Office applications
  • Good level of attention to detail particularly with regard to the presentation of work
  • Ability to prioritise and work to strict deadlines

  • Educated to degree level in a relevant discipline
  • Insurance market awareness and knowledge (experience of Lloyd's a bonus)

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