A new and exciting opportunity has arisen with a very progressive and independent brokerage who are currently seeking a Compliance officer to work with all of their regional offices throughout England. They identify and evaluate potential risks to which a business is exposed and design effective programmes to protect their clients. All of their clients, irrespective of their size, receive the highest quality advice.
You would be working under the direction of the Chief Operating Officer (COO) to develop, manage, deliver, monitor and report on the Company’s Compliance procedures, ensuring that processes are current, accurate and strictly in accordance with FCA Regulations. In addition to this you would:-
- To assist and/or act as compliance officer at any of the Company’s locations.
- Undertake quality monitoring with reporting to the various Branch Directors and COO.
- To work in association with the COO to develop, control and implement strategy to ensure compliance with FSA rules.
- Assist in ensuring that non-financial management information is kept up to date.
- As and when necessary to deliver Compliance training.
- Working with the COO to ensure that our compliance audit findings are fully implemented.
- In conjunction with the COO assist in the creation and delivery of compliance training profiles.
- Assist with the monitoring and control of our Authorised Representatives.
- To undertake any other duties as requested by the COO and/or Branch Director on an ad-hoc basis.
- Detailed knowledge of FCA Rules and Procedures as they apply to General Insurance.
- Good knowledge of Microsoft Windows including Words, Excel, and PowerPoint.
This is an excellent career opportunity where you will need to be confident and technically sound, and you will need to convey credibility to comparatively senior members of staff.
To be considered for the position you will have previous experience working in a Compliance Monitoring function ideally within an Insurance brokerage and be happy to travel when required.
This is an exciting time to be joining the business as the company is currently going through a growth and development programme where this role is one that you really can make your own.
- Compliance Monitoring
- General Insurance
- Insurance Brokerage
- Compliance Procedures