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Compliance Officer in London at Tokio Marine HCC

Date Posted: 1/26/2018

Job Snapshot

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Job Description

Job Purpose:

To assist in developing the TMHCC International Compliance function such that it is better able to pro-actively respond to regulatory change. Additional focus will be on assisting with submission of regulatory returns, review of Compliance documentation prior to issuance and training.

Responsibilities & Key Tasks:

  • To assume responsibility for Conduct Risk, providing oversight on all areas relating to the Product Governance & Distribution Framework and production of Conduct Management Information.
  • To supervise the Conduct Risk Analyst in respect of the above.
  • To work alongside the Senior Compliance Officer to ensure that TMHCC International complies fully with its obligations under the GDPR.
  • To assist with the completion and submission of Lloyd’s and regulatory returns (e g annual completion of Trust Deed documentation, NAIC IID, Syndicate Business Forecast returns etc) as necessary.
  • As required, assist with the completion of Lloyd’s minimum standards for Compliance owned areas.
  • Provide co-ordination support for regulatory risk assessments and requests for information, thematic reviews and internal audits.
  • To assist in providing supervision and review of reports and documentation produced and issued by the Compliance function. Monitor appropriateness of Compliance-related databases, suggesting enhancements where necessary.
  • Assist with the screening programme for sanctions as required and ensure that all alerts raised by system controls are resolved within the target timeframe.
  • To work alongside HR and establish, co-ordinate and provide a multi-faceted educational and compliance training program.
  • Production of/input to Compliance Reports and provision of management information for reporting to various committees, as required.
  • To liaise with all business functions as appropriate and respond to compliance queries comprehensively and in a timely manner.
  • To collaborate with other departments (e g International Enterprise Risk and Internal Audit), ensuring that compliance issues identified are escalated for investigation and resolution as appropriate.
  • To monitor consultation papers and policy statements issued by the UK and EU regulators and wider international bodies, responding where appropriate, and establishing how any such developments may impact TMHCC International.
  • Review and update of internal policies and procedures in line with PRA/FCA/Lloyd’s guidance and legislation.
  • To assist as required in the implementation of those compliance-related objectives within the Risk & Assurance Business Plan.


Job Requirements

Essential Skills & Qualifications:

  • Experience within the London insurance market required.
  • Strong analytical and written skills.
  • Previous management experience.
  • Ability to confidently communicate with the business.
  • Experience in working independently without supervision.
  • Ability to assimilate and interpret information with accuracy.
  • Competent in use of Microsoft Office.
  • Strong in due diligence and investigative skills.


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