Compliance and Audit Manager Compliance and Audit Manager …

Eximius Finance
in London, United Kingdom
Permanent, Full time
Last application, 24 Jan 22
£55,000 + 20% bonus
Eximius Finance
in London, United Kingdom
Permanent, Full time
Last application, 24 Jan 22
£55,000 + 20% bonus
Posted by:
Lee Barnish • Recruiter
Posted by:
Lee Barnish
Recruiter
We are looking for a Compliance and Audit specialist to join our Compliance team based in London to ensure our services meet the established standards of quality including reliability, usability and performance in line with the applicable legislations and Financial Conduct Authority guidance. You will also assist the Compliance Manager in conducting the annual audit of the U.K. insurance brokers the firm is trading with as well as in implementing compliance regulations in all aspects and levels of business.

Responsibilities:

  • Help in developing the required control systems to prevent or deal with violations of legal guidelines and the internal firm’s policies;
  • Assist with the ongoing evaluation of the efficiency of the controls in place within the firm and continuously contribute to their improvement;
  • Analyse any changes in legislations/regulations impacting the firm’s activity and assist with the implementation of the required changes to the firm’s processes.
  • Draft and modify company policies;
  • Assist with the onboarding of new insurance brokers and ongoing due diligence;
  • Assist with the annual audit of the insurance brokers the firm is trading with, including – but not limited to – site visits, review of key processes/data as well as the preparation of the required report to the Senior Management about the findings;
  • Help with the preparation of Compliance reports for the Senior Management and external regulatory bodies as appropriate.

 

Requirements:

  • BSc/BA in law, finance, business administration or related field
  • Previous experience in quality assurance and auditing experience;
  • Previous experience within a Compliance/Risk/Internal Audit team for a FCA regulated company highly desirable;
  • Excellent knowledge of reporting procedures and record keeping;
  • Good knowledge of the insurance industry required;
  • Knowledge of the consumer credit industry’ standards and regulations a plus;
  • Methodical and diligent with outstanding planning abilities;
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