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Compliance Monitoring Manager

Compliance Monitoring Manager

  • Location

    City of London

  • Sector:

    Compliance and Legal

  • Job type:


  • Salary:

    £70000.00 - £75000 per annum

  • Contact:

    Raj Basra

  • Contact email:

  • Job ref:


  • Published:

    7 days ago

  • Consultant:

    Raj Basra

Compliance Monitoring Manager | Lloyd's Broker | London / WFH | £70 - 75,000 (doe)

Finitas are delighted to be partnered with a growing Lloyd's broker in their search for a newly created Compliance Monitoring Manager to join their dynamic team. Some of your responsibilities will include:

  • Assist in the delivery of the Company's annual Compliance Monitoring Plan
  • Assist the business as required in performing due diligence checks on all new business relationships per the company's existing policies
  • Carry out Sanction Screening on a monitoring and ad-hoc basis
  • Manage the monitoring of the company's Appointed Representatives
  • Submitting Applications to the FCA with appropriate information where required
  • Work with the Compliance team with the implementation and continued monitoring of risk management framework

Experience required:

  • Background in insurance is essential - insurance broking would be preferable
  • Minimum 4 years compliance experience
  • Experience of compliance monitoring or auditing
  • Strong understanding of FCA rules including CASS and ICOBS
  • Experience of using of FCA Online Systems (GABRIEL and REGData)

This is a cracking opportunity where you will be given all of the tools and autonomy to make the role your own and be offered lots of long-term progression & development. So, if you're interested and have the right experience, please submit your CV now!

Please note you will be required to work in their London office 3 days a week and there is no people management responsibility.