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- Tasks: Lead compliance efforts and ensure adherence to regulations across the organisation.
- Company: Dynamic financial services firm with a strong commitment to compliance.
- Benefits: Hybrid work model, competitive salary, and opportunities for professional growth.
- Why this job: Make a real impact by fostering a culture of compliance in a supportive environment.
- Qualifications: 3-5 years in financial services compliance, ideally in insurance.
- Other info: Join a team that values continuous learning and development.
The predicted salary is between 36000 - 60000 £ per year.
Location: Travel will be required between City, Twickenham and Godalming
Full-time: 3 days in the office, 2 days at home (Hybrid)
Reporting to: CEO
About the role
The Group Compliance Manager is responsible for overseeing and managing compliance for the Group, to ensure the business operates in full accordance with all applicable laws, FCA regulations and industry standards. This role will support senior management in fostering a strong compliance culture across the organisation.
Core Responsibilities
- Overseeing Compliance for Trade Direct, Kerry London and Kerry London Europe (JATCO)
- Data Protection Officer
- Advising Trade Direct and Kerry London Boards on Compliance matters including any changes to regulations
- First line Compliance support
- Liaise with external Compliance consultancy for support where required
- Development of Annual Compliance Plan
- Production of Compliance reports for bi-monthly Trade Direct and Kerry London Board meetings
- Attendance and contribution in bi-monthly SYSC meetings chaired by CEO
- Allocation and sample testing of both file and call audits
- Submission of FCA regulatory returns
- IAR annual checks
Ad Hoc Activities
- Approval of financial promotions
- Complaints handling in conjunction with approved persons with responsibility for complaints
- Compliance inductions
- Notification to regulators such as FCA and ICO as required
- Management of Insurer and MGA TOBAs
- IAR approvals
- Product Governance and Fair Value Assessments
Duties & Obligations
- To act at all times within the FCA ‘Principles for Business’ and to comply with all regulatory requirements and specifically in respect to: Approved Persons with Significant Influence Functions, Treating Customers Fairly, Data Protection, Anti-Bribery, and Anti-Money Laundering.
- To support the firm’s Board and Approved Persons with Significant Influence Functions in ensuring a culture of compliance and competency at all levels within the organisation.
- To report any matters of concern through the appropriate channels.
- To understand and observe at all times the firm’s Code of Conduct and the Employee Handbook and associated policies, including – but not limited to – Equal Opportunities, Data Protection, and Anti-Bribery policies.
- Understand and observe at all times the firm’s Health & Safety policy and procedures.
- To cooperate and participate with other team members in ensuring that Health & Safety standards are met and maintained.
- Undertake proactive ‘Continuous Professional Development’ activity to maintain the requisite competency levels required by the regulator.
- Ensure that knowledge, skills, and abilities remain appropriate to prevailing professional standards.
- To adhere to internal departmental and divisional processes and procedures.
- Support and demonstrate the Company values in actions and behaviour.
Experience
- Minimum 3-5 years’ experience in financial services compliance, ideally within the insurance industry
- Strong working knowledge of FCA regulations, including SYSC, ICO guidelines
- Proven experience in managing compliance activity, including monitoring and reporting processes
- Experienced in SMCR, complaints handling, and liaising with regulatory bodies e.g. FCA, ICO
- Demonstrated ability to develop, implement and monitor compliance policies, procedures, and controls.
- Experience in leading compliance activities and providing guidance to business teams
- Demonstrable experience of strong analytical and problem-solving skills
- SMCR and Treating Customers Fairly (TCF) principles
General Skills
- Strong team player, able to adapt well to changing requirements
- Highly organised, able to effectively multi-task and deliver to deadlines
- Highly analytical and detail-orientated
- Demonstrates sound judgement in problem-solving and decision-making
- Pro-active, looks for opportunities to improve and enhance compliance related activities in support of the business
- Demonstrates a willingness to engage in ongoing learning and development to maintain and enhance professional knowledge and skills
Group Compliance Manager in City of London employer: Kelliher Insurance Group
Contact Detail:
Kelliher Insurance Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Group Compliance Manager in City of London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field, especially those who work in financial services. A friendly chat can lead to insider info about job openings that might not even be advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance best practices. We want you to showcase your knowledge and experience confidently, so practice answering common compliance-related questions.
✨Tip Number 3
Don’t forget to follow up after interviews! A quick thank-you email can keep you fresh in the interviewer's mind and show your enthusiasm for the role. Plus, it’s a great chance to reiterate why you’re the perfect fit.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who are proactive and engaged with our company.
We think you need these skills to ace Group Compliance Manager in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Group Compliance Manager role. Highlight your experience in financial services compliance and any specific knowledge of FCA regulations. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to fostering a strong compliance culture at StudySmarter. Keep it engaging and relevant to the role.
Showcase Your Experience: In your application, be sure to showcase your experience with compliance activities, especially in the insurance industry. Mention any specific projects or achievements that demonstrate your ability to manage compliance effectively.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you don’t miss out on any important updates from us. Plus, it’s super easy!
How to prepare for a job interview at Kelliher Insurance Group
✨Know Your Compliance Stuff
Make sure you brush up on FCA regulations and compliance standards relevant to the insurance industry. Be ready to discuss how your experience aligns with the role's requirements, especially around SMCR and Treating Customers Fairly principles.
✨Showcase Your Analytical Skills
Prepare examples that highlight your strong analytical and problem-solving skills. Think of specific situations where you've successfully managed compliance activities or improved processes, as this will demonstrate your capability to handle the responsibilities of the Group Compliance Manager.
✨Demonstrate Team Spirit
As a Group Compliance Manager, you'll need to work closely with various teams. Be prepared to share instances where you've collaborated effectively with others, adapted to changing requirements, and contributed to a positive compliance culture within your previous organisations.
✨Ask Insightful Questions
At the end of the interview, don’t shy away from asking questions! Inquire about the company's current compliance challenges or their approach to fostering a compliance culture. This shows your genuine interest in the role and helps you assess if the company is the right fit for you.
