Managing DirectorDirect reports:
Assistant Compliance OfficerWorking hours:
9am - 5pm Mon - FriPurpose of role:
Key responsibilities and objectives:
- To deliver a compliance programme that supports the business activities of our client & associated companies.
- To co-ordinate the Training and Development programme to meet business needs.
- Adopt, maintain, and improve the established compliance framework.
- Own and maintain the company risk register and compliance management information framework.
- Report to The Board and other senior colleagues on all matters relating to risk and compliance.
- Propose, gain sign off for and deliver the annual compliance plan.
- Assist with queries, complaints, and projects.
- Identify areas of regulatory and legal change and work with senior colleagues to deliver this change.
- Provide compliance review and sign off for new products, facilities, and lines of business.
- Take overall responsibility for ensuring staff across the organisation (and associated companies) receive appropriate training.
- Managing regulatory returns, FCA applications, Lloyd's ATLAS, REG and other external compliance registers.
- Represent the company in audits by the regulator and other providers.
For further information on this position & other potential opportunities, please contact, or email