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Job Title: Compliance Manager (Life)
Aviva Role Level: D
Reports to: Head of Compliance ALPI / UKIL
Business Unit: Compliance
Location: One Park Place, Hatch Street, Dublin 2
Duration: 6 month fixed term contract/secondment opportunity
This role has been deemed CF2 under the Fitness and Probity Regime
As an integral part of the Compliance team in its delivery of technical expertise to the business, the role-holder will be tasked with ensuring that the compliance team and the wider business fully understands their Irish regulatory obligations in key areas. Under the direction of the Head of Compliance the role-holder will use their specialist technical knowledge of key areas of the regulatory environment to assist business directly as part of business as usual or through projects.
- The role-holder will ensure that ALPI has adequate and documented compliance procedures to deliver compliance with the Central Bank of Ireland’s (CBI) and the Pensions Board’s rules, codes and guidance notes and any other applicable financial services regulations / authorities (including relevant Group Policies & Standards) under the following non exhaustive headings;
- Financial Crime
- Data Protection / Data retention
- Risk identification, Management & Reporting
- Reporting (internal, group & board) / controllership
- Consumer Protection - Treating Customers fairly (TFC)
- Identification and mapping of Regulatory risk
- Best execution
- Client records
- Complaint Handling
- Marketing literature sign-off
- Customer Communication sign-off
- Sales processes
- Administration / outsourced function Advice / Oversight
- Staff Training
- Ensuring key functions (particularly including any outsourced functions) are being conducted to the required company, group and regulatory standards.
- Ensuring that adequate and documented compliance processes are built and kept up to date to deliver compliance with such regulation.
- Aim to meet as best as can the unique needs of each customer by offering a transparent, efficient and professional service.
- Will ensure that expectations in relation to TFC behaviour are clearly demonstrated and communicated to the wider business in order to support our customer focussed culture.
- Provide technical expertise to the team and business on key regulatory issues.
- Assist the Head of Compliance in the team’s delivery of technical excellence to the business.
- Assist in the delivery of the Fix Agenda as well as building and embedding 1<>
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