SVP, Compliance
SVP, Compliance
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Job Description
About the team and the job
This role is to work closely with the Global Head of Compliance & Risk and act as the primary contact with the global broking teams and the corporate functions acting as a business advisor and enabler.
How youll contribute:
Work closely with the Broking Teams Operations and other key stakeholders to advise upon Trading Partner relationships and assist in their onboarding and
maintenance.
Maintaining accurate and up-to-date records of trading partner relationships
including related correspondence supporting documentation and onboarding due diligence.
Advising on and drafting of TOBAs Non-Disclosure Agreements Confidentiality Agreements Transfer of Business Agreements and other related contractual or insurance documents
Advising upon licensing requirements to ensure business is permitted to transact and/or place business in specific markets/jurisdictions. Ensuring compliance with all applicable regulatory regimes
Responsibility for third party payment approvals including ensuring the Firms policies are followed key stakeholders are kept up-to-date and escalation taken where required.
Identifying and advising upon potential sanctions issues including recognizing when issues might occur escalating where required providing appropriate guidance and commercial solutions in a timely and accurate manner. Liaising with business and other stakeholders to advance the matter.
Responding to intermediary questionnaires from third parties regarding their
onboarding requirements.
Prepare compile and collate compliance data and MI.
Assist with the maintenance of various registers such as Gifts & Entertainment Complaints and others.
Requirements
Head of Compliance and Risk function experience required at a Lloyds broker
preferable.
Experience of preparing reporting and presenting at formal Governance Boards required
SMF/Certified Individual designation holder is desirable.
Ability and willingness to multi-task effectively efficiently and proactively to tight deadlines is a prerequisite for this role
Experience of overseas entity Compliance management preferable.
London Market operational understanding desirable.
Acrisure is committed to employing a diverse workforce. All applicants will be considered foremploymentwithout attention to race color religion age sex sexual orientation gender identity national origin veteran or disability status. California residents can learn more about our privacy practices for applicants by visiting the Acrisure California Applicant Privacy Policy available at Executive Search Firms & Staffing Agencies: Acrisure does not accept unsolicited resumes from any agencies that have not signed a mutual service agreement. All unsolicited resumes will be considered Acrisures property and Acrisure will not be obligated to pay a referral fee. This includes resumes submitted directly to Hiring Managers without contacting Acrisures Human Resources Talent Department.
Required Experience:
Senior Exec
Employment Type
Full-Time
