Compliance Manager - Conduct/Advisory Compliance Manager - Conduct/Advisory …

LMA
in London, England, United Kingdom
Permanent, Full time
Last application, 24 Feb 20
Up to 55,000 + Bonus + Benefits
LMA
in London, England, United Kingdom
Permanent, Full time
Last application, 24 Feb 20
Up to 55,000 + Bonus + Benefits
Posted by:
Posted by:
Associate Director
Our Client, a Insurance Management firm is looking to hire a Compliance manager and is ideally looking for a compliance individual from a mid-size Insurance Broker as the role will involve a significant amount of interaction.

The Mission

To ensure the best interests of our customers are met and regulatory requirements satisfied by

  1. promoting a culture of continual improvement in the quality of the customer experience and those of its Appointed Representatives
  2. implementing and embedding appropriate Policies and Procedures to guide and inform the way we work and promote the right behaviours.
  3. working in partnership with the Business in monitoring and responding to relevant KPIs, new developments - internal or external.
  4. providing pro-active support and constructive advice on compliance and related matters and be seen as a ‘Trusted Advisor’

​Successful Outcomes within the next 12/24 months

  1. Senior management is well informed about the quality of our service through the pro-active and timely provision of relevant reports and management information
  2. Issues are promptly identified and resolved through monitoring of the Business and its Appointed Representatives in line with the Compliance Plans
  3. Improved customer satisfaction can be evidenced and complaints are promptly and effectively investigated and resolved without recourse
  4. Rule Breaches are limited to minor infringements and do not recur.
  5. Compliance input ensures that Operational Policies and Procedures continually reflect the latest regulatory and legislative requirements
  6. Product and scheme design, promotional activities and materials, documentation and call scripts are developed with emphasis on the needs and understanding of our customers.
  7. The file review process is regularly reviewed and maintained to provide a risk-based assessment of adherence to best practice.

Critical Competencies

  • Efficiency - able to produce significant output with minimal wasted effort.
  • Honesty/integrity - does not cut corners ethically. Earns trust and maintains confidences. Does what is right, not just what is politically expedient. Speaks plainly and truthfully.
  • Organization and planning - Plans, organizes, schedules, and budgets in an efficient, productive manner. Focuses on key priorities.
  • Assertiveness - moves quickly and takes a forceful stand without being overly abrasive.
  • Follow-through on commitments - lives up to verbal and written agreements, regardless of personal cost.
  • Intelligence - learns quickly. Demonstrates ability to quickly and proficiently understand and absorb new in-formation.
  • Analytical skills - able to structure and process qualitative or quantitative data and draw insightful conclusions from it. Exhibits a probing mind and achieves penetrating insights.
  • Attention to detail - does not let important details slip through the cracks or derail a project.
  • Persistence - demonstrates tenacity and willingness to go the distance to get something done.
  • Proactivity - acts without being told what to do. Brings new ideas to the company
  • Flexibility/adaptability - adjusts quickly to changing priorities and conditions. Copes effectively with complexity and change.
  • Calm under pressure - maintains stable performance when under heavy pressure or stress.
  • Strategic thinking & vision - able to see and communicate the big picture in an inspiring way. Determines opportunities and threats through comprehensive analysis of current and future trends.
  • Creativity/innovation - generates new and innovative approaches to problems.
  • Enthusiasm - exhibits passion and excitement over work. Has a can-do attitude.
  • Work ethic - possesses a strong willingness to work hard and sometimes long hours to get the job done. Has a track record of working hard.
  • High standards - expects personal performance and team performance to be nothing short of the best.
  • Listening skills - lets others speak and seeks to understand their viewpoints.
  • Openness to criticism and ideas - often solicits feedback and reacts calmly to criticism or negative feedback.
  • Communication - speaks and writes clearly and articulately without being overly verbose or talkative. Maintains this standard in all forms of written communication, including e-mail.
  • Teamwork - reaches out to peers and cooperates with supervisors to establish an overall collaborative working relationship.
  • Persuasion - able to convince others to pursue a course of action.
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