Insurance Compliance Officer

Posted 16 February by Cameron James Featured

Insurance Compliance officer - Billericay Essex

Salary Up to £ 50,000 +Benefits, Bonus

A unique, specialist, Lloyd's wholesale and retail broker is looking to recruit a Compliance Officer to join their successful team based in Billericay.

The Compliance Officer is responsible for supporting the Compliance Director in ensuring our client complies with all relevant regulatory principals and requirements. Including, monitoring all aspects of the firm’s regulatory obligations, reporting to the Compliance Director on the status of compliance within the firm, non-compliance or notifiable breaches. Ensuring all employees are aware of their compliance obligations and providing all compliance training.

Skills and Knowledge

The Compliance Officer is required to have detailed knowledge of the FCA’s rules and the firms business as well as the ability to support and influence colleagues in relation to their direct compliance responsibilities.

DUTIES AND RESPONSIBILITIES:

  • Keeping up-to-date with regulatory developments
  • Supporting the Compliance Director in advising senior management in a timely manner about:
  • Co-ordinating and producing the firm’s Annual compliance plan for approval by the Compliance Director and submission to senior management
  • Co-ordinating and producing the firm’s Annual compliance review for approval by the Compliance Director and submission to senior management
  • Supporting the Compliance Director is ensuring that the firm responds appropriately to requests for information from the FCA
  • Supporting the Compliance Director in ensuring that the firm makes all appropriate notifications to the FCA and that such notifications are made in an accurate and timely manner, including:
  • Reviewing on an on-going basis the firm’s reporting lines to ensure any changes in personnel are reflected in the firm’s documentation and communicated to all staff
  • FCA related issues and other regulatory issues
  • Any changes to the FCA regulations
  • Retail Mediation Activities Return (RMAR)
  • Complaints Return
  • Changes to Standing Data
  • Appointed Representatives annual report
  • Any changes in Approved Persons, controllers or close links
  • Material breaches
  • Supporting the Compliance Director in ensuring that the firm’s activities comply at all times with; Its own internal procedures
  • FCA requirements

If you wish to apply for this position please complete the link and a consultant from Cameron James will be in touch with you

Reference: 33900173

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