Compliance Officer

6 days ago

StratforduponAvon, Warwickshire, United Kingdom Verlingue Full time

Compliance Associate Job Description

We are seeking an experienced Compliance Officer to join our small Compliance team at Verlingue. This role will be based in our Manchester office, with occasional travel to other offices. You will support the Head of Compliance and work with the Senior Compliance Consultant in all aspects of Compliance, providing support internally and externally to ensure that the firm complies with all relevant and required regulation and legislation.

Key Responsibilities:

  • Supporting Regulatory Compliance: Assist the business with ongoing projects to ensure regulatory changes are understood, policies & procedures remain relevant, and suitable training is provided.
  • Updating Documentation: Update documentation as appropriate for the business to remain compliant.
  • Auditing and Role Plays: 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.
  • Supporting Business Growth: Support the business meet its growth aspirations by supporting new business pitches, agreeing TOBAs, etc., and participating in company projects and initiatives.
  • Regulatory Liaison: 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.
  • Risk Committee Support: Support the Head of Compliance in actions arising from the ongoing Risk Committee process.
  • Complaints Management: Monitor and report on available management data, which allows the business to better understand and respond to any regulator or customer demands and expectations.
  • Complaints Resolution: Manage complaints and the complaints process to ensure that individuals are dealt with in a timely and appropriate way.

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