Senior Compliance Executive

Senior Compliance Executive Our growing Commercial Broking client is looking for a dedicated Senior Compliance Executive to support the day-to-day business operations. You’ll…..Our growing Commercial Broking client is looking for a dedicated Senior Compliance Executive to support the day-to-day business operations.

You'll play a crucial role in ensuring they meet all Regulatory requirements by undertaking Compliance monitoring and supporting a range of Compliance-related activities.

If you're passionate about upholding high standards, contributing to a collaborative team, and making an impact in a growing environment, this is an ideal opportunity for you. Options for full and part time working are available.

Key Responsibilities of the Senior Compliance Executive include:

Tracking of Compliance actions as part of the annual Compliance Plan and report on the progress throughout the year Develop and maintain good working relationships with the business and promote a strong and positive Compliance culture and respond to general queries to support the business

Development and/or improvement of policies and procedures and processes to ensure they continue to support the business in complying with Regulatory requirements

Undertake Regulatory horizon scanning and impact assessments

Maintenance of the Compliance training system and monitoring of staff completion as well as further development of required courses

Communicate relevant Regulatory information to business areas in a clear and concise manner and provide oversight of any resulting actions

Tracking and monitoring of Compliance performance

Maintain an overview and knowledge of Regulation, expectation, good market practice and requirements and to report on material changes

Maintain Compliance with any applicable UK or International statutory or Regulatory obligation.

To be a successful Senior Compliance Executive you will demonstrate:

Previous experience in a Compliance role for a Commercial Broker, Insurer or Managing Agent.

Strong Regulatory and market awareness.

Demonstrate an understanding of the FCA's Rules, as well as knowledge of complaint handling processes.

Strong communication skills.

Confidence in your knowledge and expertise.

Strong numerical and analytical skills.

Resourceful and able to apply own initiative in resolving issues.

Strong planning and organisation skills with a keen attention to detail.

Proactive and personable approach.