A Compliance Assistance is required for a City of London Underwriting Group, who seeks a person with 3+ years Lloyd's Insurance Compliance background. Hybrid role, City of London. Working in an excellent environment in a small team, the role is to support the Compliance team in … its day-to-day activities. This includes assisting in the delivery of the annual compliance plan including associated monitoring and reporting. Support the delivery of the compliance plan including advisory, monitoring, reporting and regulatory activities. Review and analyse/report on regulatory changes. Assist in the monitoring and … reporting of conduct risk exposure including treating customers fairly/Consumer Duty, product oversight and complaints. Assist in the delivery of compliance monitoring activity. Review and report monthly on the performance of each underwriting team (against a sample basis of slips) in meeting contract certainty, sanctions and licensing standards. more »
City of London, London, United Kingdom Hybrid / WFH Options
High Finance (UK) Limited
is the possibility of a permanent role being available at the end of the contract too. Duties will include: Assisting in the oversight of compliance processes Assisting in the oversight of due diligence Supporting the Head of Compliance in managing regulatory relationships with key regulators including the PRA … FCA and Lloyd's (and relevant overseas regulators). Participating in the delivery of an effective compliance training program. Working on compliance projects Managing enquiries to the compliance team inbox accurately and efficiently in line with agreed SLAs. Maintaining all allocated documentation to the appropriate standard, ensuring … associated procedures (Conduct Risk and Financial Crime). As this is a contract role, it is essential that you have at least one years compliance experience gained at an insurer, insurance brokerage or at a consultancy firm where you worked with insurance clients. more »
passion for research, and who has a creative way in which they can present their findings. This isn’t about having particular risk or compliance experience, but more around a desire to learn and want to progress with a business that can offer a lot of exposure, and a … progressive career. What you’ll be doing: Documentation for both new and existing clients to ensure compliance with AML and other legal and regulatory requirements. Risk assessments of customers and applying the commensurate level or due diligence (i.e SDD, SCDD, EDD) using external sources. Interacting with Sales team, LATAM … correct and current. Evaluating the adequacy, comprehensiveness, and effectiveness of the Company’s Account Opening and KYC procedures. Monthly management information on account opening. Compliance in other ad-hoc matters including but not limited to drafting procedures, training and other matters arising from time to time. What we’re more »
Greater London, England, United Kingdom Hybrid / WFH Options
Robert Half
Company - Investment Bank Role - Compliance Monitoring and Testing Analyst Location - London Hybrid Responsibilities/Accountabilities Contribute to second line monitoring activity and completion of the monitoring annual plan, ensuring the firm can demonstrate it is meeting its regulatory obligations. With oversight, responsible for performing the ongoing review, management … and testing of regulatory and operational risks and controls. Assist in the review and updating of the Compliance Monitoring Plan. Completion of the Risk and Control Self-Assessment process across all areas of the business. Perform root cause analysis on any operational risk events that occur. Assist with Corporate … and team, there is a need for all team members to support each other, providing the opportunity to gain exposure to other areas of Compliance from time to time as required. Contribute to ongoing trade surveillance and the submission of STORs. Working with the Head of Compliance to more »
This role is based in the 2LoD Financial Crime Compliance team initially worlking on a project. The role holder will have a good understanding of the Transaction Monitoring tool used by the Bank. To review the effectiveness of the rules within the transactions monitoring system (Actimize). To advise more »
Analyse transaction data and fraud metrics to determine trends and indicators which may assist in detecting and preventing online fraud Provide day to day compliance operations assistance and support to wider teams within Xe Remain up to date on Xe's core business activities and assist in the analysis … of proposed business initiatives from a compliance operations perspective Maintain high levels of performance at all times including situations with challenging timeframes and complex situations and scenarios Foster a positive, inclusive, collaborative team culture by maintaining open professional communications and being a team player Maintain a strong control environment … requirements Identify and escalate emerging issues or concerns with the ability to manage issues from identification to resolution Strive towards continuous improvement of the compliance operations function Requirements Educated to degree level or at least 1 years' experience gained working within a similar role within the FX/Payments more »
Lancashire Teaching Hospitals NHS Foundation Trust
exciting and challenging opportunities for people who are passionate about making a difference to the patient experience? An exciting opportunity has arisen within the Compliance and Assurance Team . Our team is responsible for assuring all RTT 18Week standards are analysed and reported accurately in line with national standards. … all directorates in identifying areas requiring pathway reform and redesign for service improvement Work in a supervisory role as required, escalating issues to the Compliance and Assurance Manager as required. Assist in training of staff to required standard in the use of all procedures. Person Specification Qualifications Essential Educated more »
