Senior Manager (Head), FA Compliance & Risk - INCOME INSURANCE LIMITED

Roles & Responsibilities

The role reports directly to Income’s Head of Compliance. You will have a matrix reporting line and be a business partner to the CEO of Income’s subsidiary FA firms.

You will work on identifying, monitoring and reporting on compliance items, ensuring FA compliance with regulatory requirements and adherence to relevant industry best practices. You will also collaborate closely with Income’s Risk Management and Compliance to provide expert guidance on compliance matters to stakeholders in the FA firms.

Key Responsibilities :

Regulatory Compliance :

• Oversight on ensuring regulatory reporting requirements.
• Preparing reports and reporting on FA regulatory compliance matters to the Income and FA Executive Committees and the Boards.
• Assist with review of FA firms’ Compliance Risk Assessments and Controls Testing.
• Assist in providing regulatory advice or guidance to FA firms.
• Assume the role of a Data Protection Officer for FA firms.

AML / CFT :

Market Conduct :

Other / General Responsibilities :

Qualifications and Competencies :

Tell employers what skills you have

Coaching

Report Writing

Internal Investigations

Risk Governance

Risk Assessment

Regulatory Compliance

Interpersonal Skills

Critical Thinking

Investigation

Enforcement

Adaptable

Operational Risk Management

Compliance

Audits

Presentation Skills

Team Player

Regulatory Requirements

Legal Compliance

Audit

Able To Work Independently