COMPLIANCE OFFICER
LEEDS + HYBRID WORKING
SALARY UP TO £35,000

THE OPPORTUNITY:

Join an exciting insurance brokerage based near Leeds.

This is a growing team in a growing brokerage looking for ambitious compliance professional looking to progress within a friendly culture.

If you come from a Compliance Background within the Financial Services or Insurance industry this could be just the role for you.

Other relevant Job titles could include: Administrator, Risk Analyst, Compliance Administration, Risk Admin Support


PACKAGE:

• Salary up to £35,000 dependant on experience


• Hybrid working Structure- 3 days in the office/2 at home


• 25 days Holiday


• Many other exciting benefits

RESPONSIBILITIES:

• Assist with the provision of consistent and reliable Compliance advice to the business on a broad range of regulatory matters and to explain the impact of any changes.


• Assist with the identification and assessment of the compliance risks applicable to the business.


• Support and maintain the risk registers for the business.


• Producing sanction checks reports


• Ensure that all complaints are dealt with appropriately.


• Assist with queries relating to GDPR.


• Assist as directed in dealing with licensing and regulatory issues, including liaison with the internal and external parties where necessary.


• Ensure that any matters which arise from internal or external reviews or monitoring visits are followed up and the actions tracked and resolved appropriately.


• Provide support and guidance to the business in understanding its responsibilities and obligations under relevant policies (e.g.
  
  Anti-Bribery & Corruption, Conflicts of interest, Financial Crime, Gifts (Conflicts of Interest), Complaints, etc.
  
  respond to queries on the interpretation of relevant compliance policies.


• Maintain branch procedures manual


• Maintaining all compliance registers e.g.
  
  Advertising / TOBAs/ Sanctions / Complaints / Conflict Management / Gifts and Hospitality / Breaches, etc.


• Producing TCF reports (Treating Customers Fairly)


• Annual staff competence administration


• Conduct file reviews for sales members of staff


• Ensure all checks weekly/ monthly / etc.
  
  have been conducted such as; fee checks, sign-offs, training, etc.


• Ensuring the organisation is compliant with all new FCA appropriate regulations;


• And any other tasks required to be undertaken to support the compliance department

SKILLS & ABILITIES:

• Shown experience in compliance advisory, compliance testing or other risk control functions in the financial services industry, preferably in insurance industry


• Excellent communication skills


• Project management experience is desired


• Strong social and coordination skills and able to engage and work effectively with colleagues across all departments


• Self-motivated, independent, go-setter learner


• Flexible and adaptable to dynamic, changing work processes and environment


• Attention to details and effective time management skills


• Strong analytical skills and the ability to run several simultaneous tasks


• Conceptual strength, solution oriented, and a good sense for feasibility and pragmatism

We are currently shortlisting for interview so if you have experience within Compliance in the Insurance industry, apply today!!

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