Group Compliance Manager - Taylor Root

£40000 - £60000 per annum
Professional Title
Legal Executive
PQE Guide
Any - Any
Areas of Practice
Manchester Only

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Taylor Root

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Job Description

1 Set up appropriate systems and controls to ensure that the firm meets its regulatory, statutory and delegated authority obligations.
2 Regularly monitor and update the systems and controls to ensure that they are performing the function that they should and prepare reports for the Board to highlight areas where improvements or revisions are required.
3 Represent the company to product providers, auditors, suppliers, self-employed agents and the FCA and any other bodies in connection with the FCA regulations.
4 Jointly represent the company, alongside the Product & Underwriting Director, to Delegated Scheme providers to ensure our continued compliance. Act as a central liaison for schemes including underwriting audits and policy wordings.
5 Produce and keep an up to date compliance manual to ensure that the firm is meeting its obligations.
6 Provide guidance and assistance to Divisional Managers to ensure their compliance with systems, policies, procedures and monitoring.
7 Independently sample and review compliance activities within the Divisions and supply a quarterly report with commentary and relevant recommendations of remedial work and an implementation plan.
8 Overall responsibility for the management of the Group complaints database ensuring all Divisions record, monitor and report complaints in a compliant manner.
9 Provide regulatory information to relevant bodies.
10 Assessment and approval of Insurer Agencies/TOBA’s and IAR/AR arrangements/TOBA’s for the Group .
11 Assist the Human Resources Manager in the assessment of training and competency requirements for Group employees, and in the development of internal training courses as required

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.