Compliance Officer
6 days ago
**The Role**
We are excited to present an opportunity for an experienced compliance officer to join our Operations Department. As an integral part of the Compliance Team, you will play a pivotal role in the successful delivery of the compliance monitoring plan and advancements to our risk management framework.
**Compliance Officer job details**:
- Conduct file checks, departmental assurance, risk, client outcome and third-party due diligence monitoring and oversight activities.
- Collaborating with the Compliance and wider teams to develop the 1st and 2nd line of defence approach to risk management.
- Supporting the Compliance Team in the preparation and collation of regulatory reporting.
- Providing guidance on the creation of, and review and approval of financial promotions and customer facing documents to ensure that they adhere to the relevant regulations and procedures.
- Undertaking and advising on Consumer Duty including but not limited to product governance, fair value assessments and completion of insurer information requests.
- Developing compliance working papers, testing and management information including outcomes reporting.
- Providing oversight and maintenance of agency, introducer, appointed representative and third party contract management variations, assessments, and maintenance.
- Completion of general compliance team administrative tasks, record keeping and maintenance. Skills needed to succeed as a Compliance Officer
- Minimum of 2 years’ compliance /quality assurance and or risk management experience, within an FCA regulated business.
- Good understanding of general retail insurance products.
- Good working knowledge e of the UK regulatory framework and experience with FCA or PRA handbooks, such as IDD and FCA ICOBS, SYSC, SUP, PROD, DISP. PRIN, COND and GDPR.
- Commercial awareness of changing regulatory requirements and trends.
- Focus on the delivery of good customer outcomes.
- Capable of compiling, analysing, and interpreting management information and data to Facilitate problem solving, decision making and effective change.
- Ability to develop strong, effective relationships at all levels of business, adapting content and tone to suit audience.
**Helpful skills (not all required)**
- Hold a professional qualification CII, ICA, IRM
- Good understanding of anti-money laundering, governance and risk, financial crime prevention, customer due diligence
- Experience of writing policies and procedures to ensure they are reflected correctly in customer comms and vice versa.
- Complaint handling and management
**Salary**: £29,000.00-£31,500.00 per year
**Benefits**:
- Company pension
- Enhanced maternity leave
- Enhanced paternity leave
- Free parking
- Health & wellbeing programme
- Private medical insurance
- Work from home
Schedule:
- Monday to Friday
Application question(s):
- Do you have a minimum of 2yrs compliance / quality assurance / risk management experience?
Licence/Certification:
- Driving Licence (required)
Work Location: In person
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