Compliance Officer

2 months ago

Crewe, United Kingdom Health Shield Friendly Society Ltd Full time

**About the Role**

The compliance function is a required governance function for regulated insurers. There is a well-stablished professional framework for the discharge of compliance work. The role involves providing assurance that there are proper approaches in place to ensure that the regulations are continually met. The role involves completing activity specified in the Compliance Plan and responding to routine compliance queries working with managers and contributing to the embedding of good compliance behaviours across the Society.

**Main Responsibilities**
- Conduct formal compliance reviews, in accordance with the plan
- Using best practice approaches to data collection, assessment and reporting
- Reporting on findings and agreeing management responses and action
- Identifying areas for further compliance consideration
- Conducting on-site compliance inspections including clear desk checks

**Provide compliance advice**
- Support the business with advice on compliance requirements as required on Business as usual processes
- Contribute to ensuring processes and policies with regulatory sensitivity are applied properly in practice
- Representing Compliance at key governance forums as required

**Review of documents and other materials**
- Provide timely and useful advice and/or sign off for customer facing literature and other documents

**Consider new and emerging rules and guidance**
- Assess the impact of new rules and guidance
- Translate the impact into actions for the business
- Monitor the implementation

**Data Protection**
- Ensuring Data Protection policies are applied in practice and understood

**Legal**
- Supplying comments on legal contracts with third parties and other routine legal advice or escalating areas where more specialist areas of legal advice need to be obtained
- Any other relevant duties required by the Compliance and Legal Manager

**Preventing Financial Crime**
- Supporting the MLRO to ensure appropriate financial crime prevention structures are followed
- Oversight of financial crime prevention structures, including anti-money laundering, bribery, fraud, conflicts and countering terrorist financing

**Conduct Management**
- Ensuring appropriate conduct management structures are in place
- Actively engaging with the business to ensure good outcomes are being achieved

**About You**

To be successful in this role you will need to have the following skills, knowledge & qualifications:
**Essential**
- A relevant qualification in compliance, risk management, insurance at Certificate level or willingness to study for such a qualification
- Good Excel, Word and PowerPoint skills
- A good understanding of the FCA Sourcebooks and PRA Handbook including ICOBS, COBS, DISP, SUP, PEOD, APER, FIT
- Knowledge of the insurance industry and products
- Be proactive, well organised and good at managing both routine and one-off tasks
- Be an ambassador for governance, supporting the embedding of governance
- Be regarded as trusted and supportive by managers, capable of keeping information confidential
- Excellent communication skills, spoken and written
- Excellent analysis and synthesis skills
- Critical thinking skills

**Desirable**
- An understanding of the complementary roles of risk management and internal audit
- An understanding of compliance frameworks and approaches
- Business understanding, especially people and process management
- Wider communication skills: policy drafting, presentation, training course design
- A legal qualification would be useful but is not essential

**Key Stakeholders**:
**Internal**
- The management team
- The Risk Management Committee
- The Audit Committee
- The Board

**External**
- External Audit
- Internal Audit

**Our Values & Behaviours**

Consistently role models our values & behaviours and actively encourage others to the same:

- Customer focused
- Straightforward
- Responsible
- Professional

**Job Types**: Full-time, Permanent

**Salary**: £30,000.00-£40,000.00 per year

Schedule:

- 8 hour shift
- Day shift
- Monday to Friday

Work authorisation:

- United Kingdom (required)

Work Location: Hybrid remote in Crewe CW1

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