Edenbrook are working with a top performing specialty insurer on a Compliance Officer (Projects) opportunity. Part of the Regional Compliance team, the Compliance Officer – Projects works with Local Compliance Officers, Compliance Managers, business units and functions, providing support on projects which require significant Compliance input.
Key duties of the role include, but are not limited to:
Appointed Representative notifications
* Work with each AR to prepare their AR notification.Critically review the information provided to ensure it meets regulatory expectations. Deal with any follow up questions received from the FCA. Ensure appropriate records are maintained.
Approved Person applications
* Work with each AP to prepare their AP application. Critically review the information provided to ensure it meets regulatory expectations. Work with the AR or HR function to ensure the necessary due diligence has been conducted. Deal with any follow up questions received from the FCA. Ensure appropriate records are maintained.
Supporting documents
* Support preparation and compilation of documentation to be submitted alongside notifications and applications, in particular the Regulatory Business Plan.
Business analysis
* Support the wider project by acting as business analyst.Key deliverables will include documentation of departmental procedures relating to ARs.
Additional Support
* Provide support to and carry out work as directed by the Deputy Regional Compliance Officer – EMEA.
The ideal candidate:
* The candidate should have a sound knowledge of the retail insurance industry.
* The candidate should have the ability to work alone. They should be adept at managing competing priorities with excellent time management and organisation skills.
* Experience of making ad hoc and routine regulatory filings in the UK desirable.