Compliance Technician - London

Overview:

The role

This is an exciting opportunity to join a growing compliance function as Compliance Technician supporting the Head of Compliance and Compliance Monitoring Manager with general compliance activities across the Group and co-ordinate regulatory returns.

Key responsibilities

Assisting the Head of Compliance and Compliance Monitoring Manager with the delivery of IQUW’s compliance programme including, but not limited to the following:

• Preparation and coordination of all IQUW Group Regulatory Returns (e.g., Lloyd’s, FCA and PRA).
• Administering the company wide regulatory returns calendar and liaise with key stakeholders to ensure timely submissions.
• Participate in compliance tasks across the wider Compliance Team and support monthly monitoring activities, and testing. For example, monitoring gifts and hospitality, training, file checking and contributing to the ongoing development of these areas.
• Assisting in the production of reports on the outcomes of compliance assurance activity, Product Governance and producing regulatory returns data.
• Assisting the wider Compliance Teams with projects and key tasks as required.
• Supporting the Product Governance and Conduct Team with key activities.
• Ability to learn and administer Compliance systems and processes.
• Developing and maintaining productive relationships with internal stakeholders.
• Administrative tasks including record keeping and minute taking.

The above duties and responsibilities are not an exhaustive list and you may be required to undertake any other reasonable duties compatible with your experience and competencies. This description may be varied from time to time to reflect changing business requirements.

• Interest in UK Regulatory regime and global scheme of regulation including regulatory returns.
• Good knowledge of Microsoft Office suite of tools including Word, Excel & PowerPoint

• Previous work experience in a Legal, Compliance department or other assurance function.
• Ability to communicate effectively with a wide range of people face to face including over the telephone and Microsoft Teams.
• Ability to manage and prioritise own workload.
• Good organisational skills and ability assist business owners with meeting regulatory deadlines.
• Good level of problem solving and the ability to think critically to analyse problems.
• Good attention to detail and written communication skills.
• Ability to participate in all departmental activities (training, controls, maintenance, and reporting) as required.