Compliance Manager - Romford Essex Based Job at Howden Group Holdings
From day one, our mission has been to create an independent business with a unique culture – one that is controlled by the people who work for it. Finding the most talented and entrepreneurial people has always been key to our success.
People come to Howden Group Holdings for lots of different reasons, but they stay for the same one: our culture. That’s what sets us apart, and why we nurture and retain the best talent in the market. Whatever your priorities – work/life balance, career progression, sustainability, volunteering - you’ll find like-minded people driving change at Howden Group.
Compliance Manager - Romford, Essex Based
Key Purpose:
- To ensure compliance of the Company’s activities, resources and staff, with the requirements of industry and government lead regulation, within a framework of business efficiency.
- To monitor and maintain adequate and appropriate systems and controls to ensure that the firm meets its regulatory requirements.
- To conduct root cause analysis on complaints and report the results to senior management
- To provide advice and, as necessary, management of any parts of the firm’s FCA compliance planning and to report progress to the company on a regular basis.
- To assist in reporting to the FCA.
- To work with other departments when necessary to provide support.
- To assist in oversight of broker partners
Responsibilities:
To be aware of current compliance requirements and to be up to date with compliance regulation changes as they occur, so that a measured and effective compliance strategy may be planned and implemented.
To work with the Head of Compliance and Senior Management in setting up appropriate systems and controls to ensure that the firm meets its regulatory obligations, these will include:
- Organisation charts and job roles
- Business strategy
- Risk assessment and strategy processes
- Business Continuity Plan
- Audit and monitoring functions to ensure that staff are competent to perform their roles and that they are following the procedures and processes correctly.
To regularly monitor and update the compliance systems and controls to ensure that they are performing the function that they should.
To maintain such ad hoc records as thought may be appropriate to satisfy evidential requirements of compliance, which may be requested by Regulatory requirements.
To undertake such action as is necessary to ensure compliance with any further direction issued by the Financial Conduct Authority and the Office of the Information Commissioner.
Support the Head of Compliance in the delivery of the company Compliance Plan and other additional Project Management and supplier support to deliver compliance to FCA regulations
To work in conjunction with others to monitor and record compliance of the Company’s activities, including overseeing of required reporting to the FCA and other regulators
To network with other professional bodies, stakeholders and Regulatory Authorities to ensure that we are aware of ongoing developments.
To provide support and input to the training of staff, preparing for professional qualification and the monitoring of staff as they adhere to a policy of Continuous Professional Development as required by Regulation.
Working with the Head of Compliance and the firm’s management team:
- To agree roles and responsibilities and to document the apportionment of those appropriately;
- To regularly review and update systems and controls;
- To identify the changes that will need to be made to the business processes and strategy to enable the firm to remain compliant with FCA and data protection rules together with any other regulatory requirements;
- To work with the business to ensure changes are implemented in time;
- And assist in the oversight of suppliers and other business partners
- Communicate any changes in regulation effectively to the firm management team including an assessment of impact and risk to the firm.
Skills & Experience Required:
- Assertiveness and self confidence
- Best practice and Compliance
- Coaching, people development and people skills
- Decision Making
- Delegation, time management and delivering to objectives
- Energy, drive and self motivation
- Flexibility, Initiative and Influencing and negotiation skills
- Leadership and team building
- Listening, observation, problem solving and questioning skills
- Managing change, planning, organisational and measuring skills
- Self development
- Strong communication skills in a variety of mediums
- Training skills
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Insurance qualification or equivalent an advantageICA qualification preferred
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Good understanding of general insurance products.
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Ability to understand impact on the business of any FCA changes.
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Good working knowledge of data protection and financial promotions
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Current working knowledge of statutory and legislative requirements and their effects.
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Understanding of project management methodology.
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Awareness of technology in general and its possibilities
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Word and excel skills
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Analytical skills
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3 Years in general InsuranceExperience of financial services regulation and data protection requirements an advantage
Our culture: People First
Our core values dictate how we live and work. We are a group with independence and people at its heart and we are a home for talent with a unique culture: the biggest small company in the world.
The focus on being a People First business has always been at the very heart of the Group; Our vision was to create an independent business with a unique culture and one that would survive and thrive as a business controlled by the people working for it. And finding the most talented and entrepreneurial people to join the Group has been and will continue to be key.
Diversity & Inclusion
At DUAL we consider our people our chief competitive advantage and as such we treat colleagues, candidates, clients, and business partners with equality, fairness and respect, regardless of their age, disability, race, religion or belief, gender, sexual orientation, marital status or family circumstances
What do we offer in return?
A career that you define.
Yes, we offer all the usual rewards and benefits - including great healthcare provision, a wide variety of wellbeing offers, competitive salary, generous pensions and more - but we know you expect all that.
What you might not expect is a job where everyone has a voice, where volunteering in the community is part of the day job, and where everyone is encouraged to play a part towards our sustainability goals. We want people who want to make a difference - not just in the workplace, but in the industry and in the wider community.
Our Culture: People First
We are proud to be at the global table, but we are most proud of our culture. It has been built on a single and constant set of principles over more than 25 years, and it has helped us become:
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An international group with independence and people at its heart
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A home for talent with a unique culture: the biggest small company in the world
The focus on being a People First business has always been at the very heart of the Group. David’s vision was to create an independent business with a unique culture; one that would survive and thrive as a business controlled by the people working for it. Finding the most talented and entrepreneurial people to join the Group has been and will continue to be key.
Diversity & Inclusion
At Howden Group Holdings we consider our people our chief competitive advantage and as such we treat colleagues, candidates, clients, and business partners with equality, fairness and respect, regardless of their age, disability, race, religion or belief, gender, sexual orientation, marital status or family circumstances.
Additional Job Details
Worker Type:
Permanent
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