Conduct Officer

2 weeks ago

Cheltenham, United Kingdom The Ardonagh Group Full time

**Conduct Officer - Local Office - ARDAO857599**

The role will provide Business Unit support within TIB 1st line on matters relating to conduct and the adherence to business standards whilst creating a culture of good regulatory standards and client outcomes.

**Purpose of the Role**:

- To work with the Business Assurance team and the Risk & Compliance (2nd line) function to ensure that all regulatory, operational and conduct risks that impact the business are identified, assessed and have appropriate controls that are appropriately monitored
- To manage and provide advice & guidance, complaints management, product governance/lifecycle management, T&C framework incl. sales, 3rd party (ARs, IARs etc.) governance & management
- To provide effective and efficient conduct support across the TIB business, whilst facilitating a good working knowledge of regulatory risk requirements within the business, through strong communication and training
- To ensure that there is on-going assurance of and adherence to Group Policies and Business Standards

**Key Role Accountabilities (Senior Manager responsibilities to be specifically detailed)**:

- Ensure robust assurance oversight to support TIB’s ability to demonstrate quality service delivery to our clients whilst operating effectively and efficiently within the Accountability and Conduct Risk Frameworks
- Develop and maintain good working relationships across the TIB business and promote a strong and positive risk and conduct culture in-line with group standards and policies
- Assist the business by providing support to embed the Risk & Compliance framework, as maintained on Decision Focus Next (DFN)
- To work with the business to ensure risks and controls are identified, validated and documented within DFN
- Communicate relevant regulatory information to business areas in a clear and concise manner and provide oversight of any resulting actions
- Act as principal point of contact for conduct and risk queries
- Contribute to internal (e.g. monthly management reports) and external (e.g. Gabriel) reporting where required and to provide monthly and additional management information where required within required deadlines
- Analyse relevant MI to identify gaps in risk or conduct issues and undertake root cause analysis where appropriate to highlight underlying trends and identify and track actions as appropriate
- Ensure the escalation of all issues and risks as appropriate, in particular regulatory risks that are out of appetite
- Work collaboratively with appropriate business leaders and the segment Risk & Compliance function
- To undertake any other tasks as may reasonably be required including ad-hoc investigations
- Undertake any additional targetted and thematic audits as set by Head of Business Assurance in relation to our Quality Agenda
- Support on the review and approval of financial promotions and other communications to ensure compliance with the standards and requirements of relevant regulation and codes of practise; and to conduct this in line with the internal service level agreements (SLA) to include Websites E-Shots All marketing Collateral
- Act as a point of initial contact for all data protection (GDPR) activity and liaise appropriately with segment Risk & Compliance and the DPO as appropriate
- Training of key topics and/or training on regulatory requirements and ensure these are successfully implemented / embedded / maintained
- Manage regulatory requirements for Third Parties Agents/Introducers/PIP’s including annual reviews, due diligence and ongoing monitoring
- Conflicts of Interest identification, logging and mitigation
- Maintain Gifts and Hospitality logs
- E&O - identification and logging of E&O’s and liaison point with Legal to BU re E&O, next steps, investigation etc.
- Act as the Nominated Complaint handler across BU’s plus additional specialist resource within Claims teams

**Qualifications & Experience**:

- Essential - Current and actively maintained knowledge of the regulatory environment. Working knowledge of the FCA handbook. Good knowledge of broking operations and processes.
- Essential - Skills - Microsoft Office package to an intermediate level
- Desirable - Professional Certification - relevant industry qualifications, e.g. Cert CII
- Essential - Knowledge of working in an insurance environment, preferably insurance broking. Experience of managing projects, particularly in the area of risk, controls and governance preferred
- Essential - Prior experience in a ‘Conduct/Compliance Representative’ role.
- Desirable - Previous experience of chairing meetings and presenting findings

**Person Specification**:

- High level of knowledge of working in a regulated environment, particularly related to general insurance and related products
- A good understanding of end to end business processes and procedures and able take a pragmatic approach to implementing change
- Building relationships - a level of gravitas that enabl

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