Compliance Officer – AICL

Responsibilities

• Ensure effective compliance practices are operating and adhered to throughout Antares Global.
• Support the operation and ongoing development of Antares delegated authority oversight framework for MGAs and other delegated partners.
• Support the delivery of the Annual Compliance Plan.
• Provide second-line oversight of MGA underwriting, claims and distribution activities to ensure compliance with applicable FCA and PRA regulatory requirements.
• Review Management Information received from MGAs, provide independent compliance input and challenge and identifying emerging or conduct risks.
• Support the escalation of material issues to Head of Compliance and relevant governance committees.
• Support MGA and other delegated underwriting onboarding and due diligence.
• Assess regulatory risk and readiness associated with new delegated authority arrangements and support preparation of compliance input to approval / take up decisions for internal governance committees.
• Review Appointed Representatives (AR) structures where underwriting teams operate under MGA principals and assess potential regulatory implications for the firm.
• Promote a strong compliance culture throughout Antares Global; driving forward good conduct for the business to deliver good customer outcomes.
• Assist in identifying and assessing potential conflicts of interest arising from the firm’s delegated authority.
• Support the development and maintenance of internal procedures governing delegated authority arrangements.
• Carry out compliance monitoring/review activities (e.g. exception reporting and regular and ad / hoc thematic reviews).
• Maintain compliance systems and registers/logs.
• Understand and address new and/or changes in regulatory requirements in order to mitigate compliance and regulatory risk.
• Contribute to the success of the Compliance team by engaging with and supporting other members of the team.

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