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Compliance Assistant
Job market - Compliance / Regulatory
Compliance Assistant - About the role
To support the Head of Compliance & Audit in the scheduling and completion of scheduled compliance requirements associated with an Insurance Broker / Appointed Representative Network.
Compliance Assistant - Key duties
Responsible for scheduling and completing compliance requirements for the company’s Insurance Broker network.
Recording of material regulatory breaches, or other risks identified by the audit team to the Head of Compliance and Audit
Providing feedback to Senior Management on the Technical competence of allocated ARs
Acting as a point of contact within the compliance team for Appointed Representatives
Assisting with the management of, and providing responses from the Compliance Inbox
Supporting the Head of Compliance & Audit in the production of Management Information and Monthly Reports
Complaint management
Maintain awareness of regulatory standards and relevant FCA handbooks (ICOBS, SYSC, DISP, SUP, CASS 5 etc)
Supporting in the identification, assessment, and documentation of operational/regulatory risks and relevant controls
Management of monthly MI reports to highlight trends & escalate where appropriate
Updating policies & procedures on the company intranet site
Compliance Assistant - Key requirements
Qualifications in Financial Services e.g. Cert CII or equivalents or willingness to obtain relevant qualifications
Previous experience in Compliance/Risk/Governance/File Auditing Roles
Previous experience working in an office or customer-service based role.
Ideally there will be previous experience in General Insurance and/or Pure Protection sectors
Along with our client, we are committed to a diverse workforce and as such recruit from a wide available pool of talent, with the hiring, assessment and selection process being fair, free from bias and one which ensures the right person is selected for the job, based on merit. We treat colleagues, candidates, clients, and business partners with equality, fairness and respect, regardless of their age, disability, race, religion or belief, gender, sexual orientation, marital status or family circumstances.
A copy of our D&I policy can be made available upon request.
