Compliance Officer

6 days left

Recruiter
Vacancy Filler Ltd
Location
Stoke on Trent, Staffordshire, England
Salary
+ Excellent benefits
Posted
06 Jun 2017
Expires
04 Jul 2017
Ref
JUN20170493
Contact
Vacancy Filler
Sector
Accounting
Contract Type
Permanent
Hours
Full Time

With over 20 years' experience within the Insurance Industry our client are winners of the Insurance Times award for Independent broker of the year and Personal Lines broker of the year 2014/2015. With 2016 being another exceptional year scooping the Insurance Times award for broker CEO's CEO of the year whilst also being placed in the Top 50 brokers within the UK by the Insurance post.

Purpose of the Role:

To support the Head of Compliance in the delivery of the compliance & risk strategy plan so as to:

  • Ensure the Company complies with all relevant regulation/legislation
  • Work with key stakeholders across all areas of the business to provide guidance on areas such as FCA, CMA, FOS and Data Protection

What do you need to do?

  • Support the Head of Compliance in maintaining and reviewing Compliance policies and procedures to ensure compliance with the Financial Services and Markets act and other legal and regulatory requirements
  • Assisting with design, development and maintaining an annual compliance strategy & monitoring programme
  • Develop and implement agreed strategies that support the Company's compliance to relevant regulation and legislation
  • Keep up to date with regulatory and industry changes and provide guidance so that the business can implement appropriate systems and controls to the meet the relevant requirements
  • Promoting good regulatory practises and controls
  • Act as a point of contact for day to day advice and guidance to the business on regulatory matters
  • Provide a sign off point for financial promotions and other customer facing documentation
  • Assist with all business development projects to ensure conduct of such lies within regulatory guidelines.
  • Assist with the development of Compliance training programs
  • Carry out compliance audits to ensure that regulatory practices and controls are being adhered too
  • To undertake any reasonable request made by the Board or other member of the Management Team
  • Conduct your relevant activities in accordance with the requirements and procedures of Insurance Services Ltd

Skills

  • Ability to develop policies, procedures and processes
  • Ability to sustain effective working relationships with a wide range of key stakeholders
  • Good organisation skills with ability to prioritise
  • Good problem solving and analytical skills
  • Ability to make decisions
  • Strong negotiation skills and an ability to work with the business to find compliant solutions

Specialized Knowledge

  • Understanding of FCA requirements for insurance intermediaries
  • Understand of DPA requirements for insurance intermediaries
  • Understanding of working in a regulated environment
  • Be aware of broader organisational goals and understand the impact of own actions on cost.

Qualifications

  • Must have current experience in a Compliance/Regulatory Role
  • Experience in financial services specifically general insurance

How to Apply

Please click on apply and submit your full CV. Please be aware you are also required to complete an online application form, this will be emailed to you on receipt of your CV.

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