Compliance Officer

Compliance Monitoring Officer

My client is an independent insurance brokerage specialising in a number of niche sectors. They are currently seeking a Compliance Monitoring Officer to join their Operations Department.

Job Description:

You will play a pivotal role in the successful delivery of the compliance monitoring plan and advancements to the company's risk management framework. Key responsibilities includeConducting file checks, departmental assurance, risk, client outcome and third-party due diligence monitoring and oversight activities

Collaborating with the Compliance and wider teams to develop the 1st and 2nd line of defence approach to risk management

Supporting the Compliance Team in the preparation and collation of regulatory reporting

Providing guidance on the creation of, and review and approval of financial promotions and customer facing documents to ensure that they adhere to the relevant regulations and procedures.

Requirements:

Compliance/quality assurance and or risk management experience, within an FCA regulated business (essential)

Good understanding of general retail insurance products (desirable)

Good working knowledge of the UK regulatory framework and experience with FCA or PRA handbooks. 

Focus on the delivery of good customer outcomes.

Ability to develop strong, effective relationships at all levels of business, adapting content and tone to suit audience.

If you have are keen to continue developing in the Compliance space and you are looking for a fun, sociable environment with regular incentives and social events get in touch.   The role will benefit from a Hybrid working arrangement with a mix of office and home based working which can be flexed in accordance with the candidate.  The role could be based in East Yorkshire or North Yorkshire. 

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities. If you would like this job advertisement in an alternative format, please contact MERJE directly.