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- Assist the broking business with implementation of new changes arising either from regulatory or strategic changes.
- Review of breach registers and E&O’s to identify control weaknesses, trends and root cause analysis.
- Staying on top of horizon scanning across UK and EU to ensure effective oversight of regulatory and legislative changes.
- Supporting with oversight of Appointed Representatives.
- Assisting with ensuring the firm’s SMCR accountabilities are accurate.
- Ensuring stakeholders are aware of the latest regulatory expectations including FCA conduct rules and financial promotions standards.
- Champion the FCA Conduct and Consumer Duty rules, acting as a point of contact to seek advice from.
- Collaborating with the wider Compliance team to ensure appropriate policies exist to comply with legislation.
- Ability to manage, prioritise and work independently.
- Experience in regulatory compliance in insurance within a Financial Services background, preferably within the Lloyd’s Market.
- Strong understanding and demonstrable experience with ICOBS.
- Exceptional written and verbal communication skills.
- Genuine desire to progress and develop personally.
- Previous experience in regulatory Conduct themes.
