Compliance Specialist

5 days ago

Reigate, Surrey, United Kingdom Just Group Full time

About the Role

We are seeking a Compliance Specialist to support the Head of Compliance, HUB and the HUB Compliance Manager by providing timely and accurate support and guidance, and analysis of regulatory risk in respect of projects and business as usual activities.

The ideal candidate will be a pro-active individual to support the HUB distribution function to examine quality throughout their operations and to help ensure they operate within a strong and positive compliance culture.

The Compliance Specialist will contribute to the development and maintenance of a robust Consumer Duty culture.

Key Responsibilities

  • Supporting the business with service changes and documentation management / sign-off.
  • Supporting the business in its onboarding, governance and oversight, including appropriate due diligence, of its third party relationships.
  • Identifying and helping to resolve any HUB-FS and HUB-PC advice or non-advice service issues and breaches that may arise.
  • Supporting the investigation and resolution of advice and complex complaints relating to HUB-FS and HUB-PC.
  • Assisting the Head of Compliance, HUB with project and change initiatives that impact HUB-FS and HUB-PC services.
  • Business meeting attendance to support wider Compliance Oversight.

Requirements

  • Compliance experience within financial services, ideally in the retail insurance market and experience of Treating Customer Fairly/ Consumer Duty regimes.
  • Experience of delivery of compliance business support with a high level of customer orientation and effective communication skills (both verbal and written).
  • Knowledge of Financial Conduct Authority regulations and compliance framework, as it relates to retail firms.
  • Knowledge of the complexities of the retirement market, in particular Equity Release, Care Funding, Income Drawdown and Annuities.
  • Financial Services QCF level 3 qualification (or equivalent).

What We Offer

  • A Competitive Salary, Pension Scheme and Life Assurance.
  • Along with 25 Days Annual Leave plus an Additional Day on us for your Birthday.
  • Private Medical Cover and Income Protection, just in case.
  • A generous and highly achievable bonus scheme – paid annually based on individual and company performance against targets.
  • Opportunity to progress within your career both in-role and within the company.
  • FREE access to the Headspace App, a 24/7 Employee Assistance Helpline and Trained Physical & Mental Health First Aiders (On-Site).
  • A variety of Employee Funded Benefits available to you via our Online Benefits Portal.
  • Plus, several additional purchase options available for you and your loved ones.

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