Job Description
Compliance Assistant | Lloyd's Managing Agency | London/Hybrid | £28 - 30,000 (doe)
Finitas are exclusively partnered with a boutique Lloyd's managing agency in their search for a Compliance Assistant to join the team.
.
Reporting into the Compliance Director, you will be ensuring regulatory compliance across various areas. Your responsibilities will include but are not limited to:
1. Supporting the Product Oversight Group by preparing for meetings and contributing to the Principles & Documentation Forum.
2. Conducting compliance checks.
3. Managing updates and due diligence for broker TOBA and files.
4. Performing cover-holder due diligence for new applications and monitoring ongoing due diligence.
5. Handling broker financials and ensuring accurate reporting internally.
6. Delivering training to staff on topics such as Conduct, GDPR, Whistleblowing, and Lloyd's Principles and Documentation.
7. Assisting in the preparation and submission of FCA Returns.
8. Reviewing and updating the Compliance Director on new FCA guidance related to Consumer Duty.
9. Attending industry sessions to improve understanding, such as Financial Crime workshops.
10. Producing and reviewing financial crime management information.
11. Participating in relevant industry forums and meetings, such as LMA Conduct Risk Forum and Compliance Officers' Group.