Compliance Officer

1818
£45000 - £55000

A leading Insurance Broker is looking to fill an interesting and diverse vacancy within the compliance team.

You will be providing advice and guidance to the business from a regulatory and compliance standpoint. They are looking for someone to work across the business who has strong influencing skills and someone who is able to demonstrate experience of influencing key stakeholders.

As the position is working with retail products, they are looking for someone with a strong background in compliance advice and FCA guidelines. You will need at least 3 years’ experience working in a compliance role for a broker.

Key responsibilities will include some of the following:

  • Actively promote and embed a positive risk and compliance culture across the firm
  • Provide advice and guidance to staff in the development and monitoring of operational documents, procedures and computer systems to ensure effective compliance with FCA and other regulatory requirements.
  • Liaise with other members of UK Risk & Compliance as appropriate to ensure policies, materials and training take into account any trends identified.
  • Where necessary, carry out the analysis of upcoming regulatory changes and the impact on the firm’s policies, procedures & materials liaising with all relevant key stakeholders.
  • Carry out the timely preparation and accurate submission of FCA reporting
  • Maintenance of compliance registers and documents
  • Regular liaison with appropriate regulators (FOS, FCA)
  • Prepare and deliver required compliance reports
  • Ad hoc support to the wider compliance function

Managing this Role

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