Regulatory Compliance Manager
Role Overview
A specialist Insurance Intermediary and Broker is seeking a meticulous and experienced Regulatory Compliance Manager to join its Compliance and Risk team.This role is pivotal in managing the Group’s licences, regulatory permissions, and FCA regulatory filings.
The successful candidate will work closely with Group functions and regional teams, ensuring compliance with FCA requirements in the insurance and intermediary fields.
Key Responsibilities
- Regulatory Management: Oversee the timely and accurate submission of regulatory filings, including FCA RMAR returns, Approved Persons Forms, and more.
- Stakeholder Engagement: Keep key stakeholders informed about regulatory developments and ensure seamless regulatory interactions.
- Framework Enhancement: Manage and enhance regulatory frameworks, including the Senior Managers and Certification Regime, and Fit and Proper procedures.
- Global Topic Ownership: Lead the implementation of Anti-Corruption and Anti-Fraud policies, procedures, and controls.
- Compliance Projects: Support or lead compliance projects and contribute to team initiatives.
- Advisory Role: Provide practical advice on regulatory issues to the business.
Qualifications and Experience
- Experience: 5-7 years in Regulatory Compliance within the London insurance intermediary segment.
- FCA Knowledge: In-depth understanding of FCA requirements, including managing FCA regulatory returns and Connect.
- Regulatory Frameworks: Expertise in the Senior Managers and Certification Regime, CASS, and Fit & Proper requirements.
- Anti-Fraud and Anti-Corruption: Subject matter expertise in relevant regulatory requirements, procedures, and controls.
- Communication Skills: Ability to explain regulatory requirements concisely to stakeholders.
