Compliance Lead

Compliance Lead

London Office (Hybrid Model - 3 days)

Overview

An exciting opportunity to join a division as the dedicated Compliance Lead for the Employee Benefits business. In this role you'll be responsible for ensuring the division operates within regulatory requirements, maintains robust governance standards, and follows best practice across all client and business activities.

Key Responsibilities

• Lead compliance and governance activities across the Employee Benefits division.
• Conduct regular file reviews, monitoring, and internal audits to ensure regulatory compliance.
• Act as the subject matter expert for Terms of Business Agreements (TOBAs), fee agreements, contracts, and regulatory documentation.
• Review and update templates, procedures, and business processes from a compliance and governance perspective.
• Develop, implement, and maintain operational procedures and internal controls.
• Produce technical guidance, white papers, and compliance communications for both internal and external stakeholders.
• Deliver compliance training and induction programmes for new joiners and provide ongoing support to the wider business.
• Liaise closely with Legal, Compliance, and Risk teams to ensure regulatory requirements are understood and implemented.
• Remain up to date with relevant legisla...