Compliance Manager
Northamptonshire
Salary up to £65,000
The successful candidate will be reporting to the Managing Director and be part of the Senior Management Team.
This is a newly created role to join an Insurance Broker who have exciting growth plans for the future.
Compliance Framework
Review current policies and procedures in line with regulatory framework to include:-
Updating Senior Managers and Certification Regime (SMCR) roles & responsibilities
Updating Regulatory Business Plan
Update Business Continuity Planning (BCP)
Create annual compliance monitoring plan
Annually review policies and update versions as and when necessary
Maintain version control documents
Conduct checks /audits to ensure policies are being adhered to
Provide second line of defence checking managers file checks
Report on findings and provide recommendations for improvements/changes in procedures/policies
Attend compliance webinars to keep up to date with new and changing regulation
Attend Insurer audits if required
Respond to Insurer audit requests
FCA Reporting / Authorisations
As and when required support colleagues processing FCA applications
Maintain a diary for FCA reporting requirements
Complete / support collea...