Compliance Officer

2 weeks ago

Surrey, United Kingdom Lawes Consulting Group Full time

Job Title: Compliance Associate

Location: Various location across UK

Full/Part Time: Full Time

Salary Circa: £45,000

Main purpose of job   

To be a positive member of the Compliance Team in the UK that acts as a safeguard for the business, promotes ethical practices, ensures regulatory compliance, mitigates risk and supports the overall wellbeing of the company as well as for our clients.

Company Vision          

To build a large, European, independent, family-owned insurance brokerage group in which talents blossom and client satisfaction is continually high.

Key Accountabilities

  • Keep up to date with, and understand, relevant laws and regulations and communicate and cascade these in a way that is appropriate for the business
  • Support the business with ongoing projects to ensure regulatory changes are understood, policies & procedures remain relevant and suitable training is provided 
  • Update documentation as appropriate for the business to remain compliant
  • Positively support the auditing and role plays across all business areas ensuring that the experience is good for all concerned, feedback is provided, and development opportunities are understood and supported  
  • Support the business meet its growth aspirations by supporting new business pitches, agreeing TOBAs, etc and participate in company projects and initiatives
  • Support the Head of Compliance with responding to the regulators or PI insurers requests for information and ensure responses are made in a timely way
  • Support the Head of Compliance with updating the Board in a timely way 
  • Support the Head of Compliance in actions arising from the ongoing Risk Committee process 
  • Monitor and report on available management data which allows the business to better understand and respond to any regulator or customer demands and expectations such as fair value  
  • Manage complaints and the complaints process to ensure that individuals are dealt with in a timely and appropriate way
  • Support other functions such as HR in understanding and managing non-financial risks   
  • Support and cover the Head of Compliance in all aspects of role as needed and ensure market knowledge is at a high level  

For extra information please contact:-

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