Group Compliance Manager

Overview

Location: Travel will be required between City, Twickenham and Godalming

Full-time: 3 days in the office, 2 days at home (Hybrid)

Reporting to: CEO

The Group Compliance Manager is responsible for overseeing and managing compliance for the Group, to ensure the business operates in full accordance with all applicable laws, FCA regulations and industry standards. This role will support senior management in fostering a strong compliance culture across the organisation.

• Overseeing Compliance for Trade Direct, Kerry London and Kerry London Europe (JATCO)
• Data Protection Officer
• Advising Trade Direct and Kerry London Boards on Compliance matters including any changes to regulations
• First line Compliance support
• Liaise with external Compliance consultancy for support where required
• Development of Annual Compliance Plan

• Production of Compliance reports for bi-monthly Trade Direct and Kerry London Board meetings
• Attendance and contribution in bi-monthly SYSC meetings chaired by CEO
• Allocation and sample testing of both file and call audits
• Submission of FCA regulatory returns
• IAR annual checks

• Approval of financial promotions
• Complaints handling in conjunction with approved persons with responsibility for complaints
• Compliance inductions
• Notification to regulators such as FCA and ICO as required
• Management of Insurer and MGA TOBAs
• IAR approvals
• Product Governance and Fair Value Assessments

• To act at all times within the FCA ‘Principles for Business’ and to comply with all regulatory requirements and specifically in respect to:
  Approved Persons with Significant Influence Functions, Treating Customers Fairly, Data Protection, Anti-Bribery, and Anti-Money Laundering.
• To support the firm’s Board and Approved Persons with Significant Influence Functions in ensuring a culture of compliance and competency at all levels within the organisation. To report any matters of concern through the appropriate channels.
• To understand and observe at all times the firm’s Code of Conduct and the Employee Handbook and associated policies, including – but not limited to – Equal Opportunities, Data Protection, and Anti-Bribery policies.
• Understand and observe at all times the firm’s Health & Safety policy and procedures.
• To cooperate and participate with other team members in ensuring that Health & Safety standards are met and maintained.
• Undertake proactive ‘Continuous Professional Development’ activity to maintain the requisite competency levels required by the regulator. Ensure that knowledge, skills, and abilities remain appropriate to prevailing professional standards.
• To adhere to internal departmental and divisional processes and procedures
• Support and demonstrate the Company values in actions and behaviour

• Minimum 3-5 years’ experience in financial services compliance, ideally within the insurance industry
• Strong working knowledge of FCA regulations, including SYSC, ICO guidelines
• Proven experience in managing compliance activity, including monitoring and reporting processes
• Experienced in SMCR, complaints handling, and liaising with regulatory bodiese.g. FCA, ICO
• Demonstrated ability to develop, implement and monitor compliance policies,procedures, and controls.
• Experience in leading compliance activities and providing guidance to business teams
• Demonstrable experience of strong analytical and problem-solving skills
• SMCR and Treating Customers Fairly (TCF) principles

• Strong team player, able to adapt well to changing requirements
• Highly organised, able to effectively multi-task and deliveto deadlines
• Highly analytical and detail-orientated
• Demonstrates sound judgement in problem-solving and decision-making
• Pro-active, looks for opportunities to improve andenhancecompliance related activities in support
• of the business
• Demonstrates a willingness to engage in ongoing learning and development to maintain and
• enhance professionalknowledge and skills