Group Compliance Assistant Manager Job London area,Greater London England UK,Finance & Banking

River Stone is seeking an experienced and proactive Compliance Assistant Manager to support the Group Chief Compliance Officer ("GCCO") in the delivery and ongoing operation of the Group Compliance framework across River Stone's regulated entities. The role will play a key part in embedding River Stone's Compliance Target Operating Model ("TOM"), supporting Local Compliance teams and providing subject matter expertise across a broad range of compliance disciplines, including conduct risk, financial crime, governance, regulatory change, third-party risk and regulatory engagement.

Working closely with the GCCO and Local Compliance teams, the successful candidate will help ensure that regulatory risks are effectively identified, assessed, managed and reported across the Group. The role will combine technical compliance expertise with practical delivery responsibility, providing a unique opportunity to influence how Compliance operates within a complex, multi-jurisdictional insurance group. The role is suited to an individual with established Compliance experience who is looking to broaden their expertise, take ownership of significant work streams and gain exposure to Group-level compliance leadership and regulatory strategy.

Role

in the Compliance Target Operating Model

The Compliance Assistant Manager will support the GCCO in:

Embedding and operating the Group Compliance Target Operating Model.
Maintaining the Group Regulatory Traceability Matrix and compliance risk framework.
Coordinating Group-wide compliance activities and assurance programmes.
Providing oversight and challenge in relation to regulatory risks and compliance controls.
Supporting consistency across Group and Local Compliance functions.
Enhancing compliance frameworks, policies, governance and reporting.
Providing specialist support across key compliance risk areas.

Responsibilities

Compliance Risk Management & Regulatory Oversight
- Support the ongoing development and maintenance of the Group Regulatory Traceability Matrix.
- Assist with the identification, assessment and monitoring of regulatory and compliance risks across the Group.
- Support the preparation of Compliance Risk Assessments and Compliance Plans.
- Monitor emerging regulatory risks and industry developments.
- Provide compliance advice and guidance to stakeholders across the business.
- Support the development of risk indicators, management information and Board reporting.
Regulatory Change & Horizon Scanning
- Monitor regulatory developments across River Stone's key jurisdictions.
- Assess the impact of new regulatory requirements and identify implementation actions.
- Coordinate regulatory change initiatives with Local Compliance teams.
- Support the maintenance of regulatory obligations inventories and implementation trackers.
- Assist with regulatory submissions, regulatory enquiries and supervisory engagement.
- Prepare briefing papers and impact assessments for senior management.
Governance, Accountability & Culture
- Support the operation of governance frameworks across the Group.
- Assist with the oversight of Accountable Person regimes, Fitness & Propriety and Conduct Rules requirements.
- Support Conflicts of Interest and Gifts & Hospitality processes.
- Assist with whistleblowing governance and reporting.
- Support preparation of Board, Committee and Executive reporting.
- Identify opportunities to enhance accountability and governance arrangements.
Conduct Risk, Consumer Outcomes & Complaints
- Support oversight of conduct risk frameworks and customer outcome initiatives.
- Monitor complaints trends, root causes and remediation actions.
- Assist with Consumer Duty and vulnerable customer activities where applicable.
- Perform thematic reviews across claims handling and customer outcomes.
- Support Local Compliance teams in managing conduct-related risks.
- Assist with conduct risk reporting and governance.
Financial Crime & Fraud Prevention
- Support the operation of River Stone's Financial Crime framework.
- Assist with annual Financial Crime Risk Assessments.
- Monitor the effectiveness of AML, sanctions and fraud controls.
- Support investigations, referrals and escalation processes.
- Assist with the implementation of Failure to Prevent Fraud requirements.
- Coordinate Financial Crime reporting and governance activities.
- Support delivery of financial crime training and awareness initiatives.
Third-Party Risk & Outsourcing Oversight
- Assist with the oversight of outsourcing and third-party service arrangements.
- Support materiality assessments and compliance reviews of service…