Compliance Manager INSURANCE

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Compliance Oversight and Assurance Manager • Development of the annual Compliance Oversight & Assurance Monitoring Plan covering key compliance risks; • Delivery of the annual Compliance Oversight and Assurance Monitoring Plan and managing resources to deliver as part of the annual and longer term Compliance Plan; • Reporting of key findings from business transaction data on compliance controls and breaches to the Head of Compliance; • Bring an innovative approach to the collection, design and preparation of reports/MI on the performance and findings of Compliance Oversight & Assurance for committees and boards, external stakeholders and others; • Responsible for monthly reports to the Head of Compliance and quarterly reports to the Executive Committee; • Manage special investigations/ad hoc oversight activity as required by the Head of Compliance; • Identify, report, record, analyse and escalate incidents and breaches including commentary on root cause; • Track outcomes from thematic and ad-hoc reviews to conclusion; • Managing the Compliance O&A Framework and ensuring process documents are reviewed annually; • Maintain an awareness of relevant changes to the regulatory environment both UK and abroad, ensuring that the Oversight & Assurance framework reflects best practice; • Highlighting training needs to...
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Location:
London
Category:
Admin, Office, Secretarial & PA

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