Legal & Compliance Officer – Professional Services (Insurance /Investment)

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    about 2 years ago

Working for this growing professional services organisation who are highly regarded in the insurance industry,

providing technical expertise with client tailored solutions to their clients.

This role will be working closely with the COO and Group Compliance & Risk Director to ensure the business is always compliant with FCA and other regulatory bodies’ regulations. This role will also focus on legal matters within the Group.

This will be a FTC to cover a maternity leave until 2020.

Key responsibilities include:

  • Ensure that all regulatory matters are filed on time
  • Maintain up to date information on client rules and manage some compliance monitoring
  • Ensure that legal CPD is maintained
  • Carry out a regular programme of compliance monitoring to FCA standards and ensure the company is fully compliant with FCA rules
  • Board agenda / preparation and perform Company Secretarial requirements
  • Attend the Board meetings and make sure the Board are kept up to date on all compliance matters
  • Maintain risk registers and reporting of incidents
  • Report any breaches and arrange for appropriate training to be given / system changes
  • Deal with AML issues
  • Checking and signing off reports for marketing materials for distribution to clients and other third parties
  • Keep all compliance procedures and contracts up to date
  • Manage and interact with external compliance consultants as required
  • Pro-actively keep aware of regulatory and compliance requirements and best practice and help the COO and the Group Compliance & Risk Director to ensure the business is on top of regulatory developments
  • Proactively seek to constantly improve Group compliance practice and culture
  • Work with other Compliance, Legal and secretariat staff

The Person

  • Insurance and Investment compliance experience
  • Good communication skills and ability to work with multiple stakeholders
  • Any experience of having dealt with the Bermuda Monetary Authority would be of benefit
  • FCA reporting experience
  • Good strong generalist compliance experience – with some exposure to Monitoring
  • An ability to cover legal aspects to the role

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.