Compliance Officer - Financial - flexi time
Emersons Green, Bristol (BS16)
£competitive £22K to 26K +flexi time, private health,pension free car parking etc
Customer Service Officer . Would be nice if you have experience of working in a retail insurance or consumer credit environment . Our client based in Bristol at Emersons Green near the junction of the M4 and M32 ( so commutable from Bristol ,Bath ,Chippenham ) are experts in the compliance industry; focussing mainly on the Motor Trade and Travel . They have one of the UK's largest regulatory networks with many retail sites across the UK benefiting from a range of Finance and Insurance services.
Purpose of the role:
To develop and/or work with management to develop and review, as appropriate, the necessary oversight of their Compliance Network Members ensuring they are operating within required regulatory standards and within the companies risk appetite.
• A proved track record of working within a risk, compliance or regulatory role, ideally demonstrating performance over a minimum of one year
• Good investigation and analytical skills, particularly when reviewing complex and ambiguous information
• Ability to critically review and make judgements on the compliance of written and verbal communications against defined criteria
• Good organisational skills and ability to manage and prioritise individual workload
• Good written, oral communication and presentation skills
Desirable Skills and Experience:
• Experience of working in a retail insurance or consumer credit environment
• Supervisory, audit or training experience
• To adhere to good conduct and Treating Customer Fairly (TCF) ethos in all work activity
• Understanding of the Motor and/or Travel industry sectors
• Understanding of FCA rules and guidance, in particular DISP, PRIN, SYSC, SUP, CONC, ICOBS
• Excellent computer skills
Other significant Role Requirements:
• Comply at all times with company principles, ethics, commitments and codes of practice
• Must achieve and maintain minimum levels of competency for all aspects of the role and as defined by company policy
• Ensure awareness of and adopt and changes in regulatory practice and guidelines
Scope of Role:
• Role is based at their offices in Bristol. Normal working hours are 37.5 per week, Monday to Friday
Start salary depending on experience + benefits including flexi time, private health, free car parking etc
Handle compliance tasks to agreed company standards, whilst maintaining appropriate records including, but not limited to:
• Completion of reviews (both insurance and consumer credit) to ensure suitability for Network Members and end consumers, ensuring compliance with relevant rules and guidelines (e.g. CONC, ICOBS, TCF) in relation to;
• Pay plans
• Financial Promotions
• Call Monitoring
• Training Modules - creation and maintenance
• Responding to Compliance queries on behalf of Network Members and company employees
• Escalate any identified risks outside of risk appetite to the Compliance Manager
• Collage management information and produce reports as requested by the Compliance Manager
All activities to be handled in accordance with the relevant Standard Operating Procedure.
By providing Appointed Representative status, the company shoulder the burden of compliance ( of being Directly Authorised by the Financial Conduct Authority (FCA) ) so their customers can concentrate on running their day to day businesses selling cars and holidays ; saving them time, money and stress.
Everything is designed to enhance the customer experience whilst streamlining the compliance process.
- Financial Regulation
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