We are looking for an enthusiastic and highly motivated individual to join our busy Risk & Compliance team at Tindall Riley & Co Limited.
This role will support the Group Head of Risk & Compliance and the Chief Risk Officer in their day-to-day responsibilities, providing compliance support across Tindall Riley and its Client Associations (Britannia, Wren and Griffin), including liaison with overseas offices. The position includes line management responsibility, and experience in developing and managing direct reports would be advantageous.
The Senior Compliance Manager will be an experienced and capable professional who can act as a trusted advisor when making important compliance decisions. This may include clearing potential sanctions matches, assessing and agreeing due diligence on insureds and brokers, advising on whether risks can be written on a non-admitted basis, and responding to queries relating to SMF applications.
Success in this role requires a proactive self-starter who can work with focus and intensity to deliver high-quality outputs within a demanding environment.
* Design and deliver the annual Compliance plans: Contribute to the development, review and prioritisation of the annual compliance plan, taking ownership of assigned workstreams for both yourself and direct reports.
* Regulatory advice: Provide practical and commercially focused guidance on new and existing regulatory requirements to colleagues across the team and stakeholders at varying levels of seniority.
* Monitoring & Assurance: Develop risk-based monitoring and testing plans to assess compliance with regulatory requirements and support the execution of these plans.
* Policy & Governance: Review and propose updates to compliance policies to reflect regulatory and market developments, ensuring clarity and effective implementation across the business.
* Implementation of Compliance frameworks: Support the business in developing and embedding processes and approaches that strengthen effective compliance practices.
* Regulatory Applications: Support the preparation of regulatory applications for Director and Senior Management roles and manage related queries from regulators.
* Compliance Team Support: Provide guidance and oversight to the Compliance team when drafting, updating and maintaining compliance manuals and procedures.
* Training: Design and deliver compliance training across the business in collaboration with the wider Compliance team.
Reporting
* Assist with the preparation of Board and Committee compliance reports.
* Attend management-level meetings where required.
The responsibilities listed are not exhaustive and may be subject to change.
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