Our client is looking for a compliance officer/manager to help develop and bed in the companies compliance regime in conjunction with their Broker Network compliance consultant and resource. The candidate should have experience of working in a similar role, which will entail:
* be fully aware of the general insurance FCA regime and be able to perform risk assessments to understand the level, significance and scope of risk * keep up to date with, and understand, relevant laws and regulations and that internal policies are updated accordingly * ensure that any findings are recorded and followed up with management so that issues can be rectified * educate employees on not only the regulations but also the impact to the organisation if these are not complied with * investigate irregularities and non-compliance issues (Complaints) * report back to business functions on current risk and compliance performance * highlight or escalate areas of concern * contribute to robust and effective compliance controls within the organisation * review marketing materials, presentations and websites to ensure compliance with regulatory requirements * assist in the gathering of internal information in response to regulatory requests (GABRIEL/RMAR) * perform various general administrative duties (such as file creation and maintenance of ongoing administrative projects). * complete file audits and accompanied visits * collaborate with other departments to create a culture of compliance. * ensure that the regime is commercial and workable so as to minimise impact and in bed into daily routines
Salary and Benefits
* Annual Salary Circa £30,000.00 * Pension Scheme 3% employer contribution * Death in service 4 x Annual Salary * Holiday 23 days * Expenses
The role will be primarily working at their Reading Office but will entail visiting the Basingstoke and Southampton offices monthly.