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    Compliance Officer - Malton, North Yorkshire, United Kingdom - Aston Charles

    Aston Charles
    Aston Charles Malton, North Yorkshire, United Kingdom

    Found in: Jooble UK O C2 - 3 days ago

    Aston Charles background
    Description
    Compliance Officer (Prestigious Insurance Broker) - Flexible-Working - Malton

    Job Type:

    Permanent Sector:

    General Insurance Specialism:
    Commercial, Compliance &

    Regulatory Location:
    Salary negotiable plus benefits Posted: 12-Mar-24

    Start Date:
    ASAP Recruiter: One of the UK's most respected, independent insurance brokers is developing a new compliance framework.

    Whilst the business continues to thrive, having enjoyed a sustained period of growth over many years, it continues to reinvest in its infrastructure.

    As such, there is board-level support for overhauling its Compliance function, enhancing its first and second line of defence.

    Sitting within the Operations Department and reporting into the Head of Compliance, the Compliance Officer is a newly-created role; As an integral part of the Compliance Team, you will play a pivotal role in the successful delivery of the compliance monitoring plan and advancements to the risk management framework.

    Conducting file checks, departmental assurance, risk, client outcome and third-party due diligence monitoring and oversight activities.

    • Collaborating with the Compliance and wider teams to develop the 1st and 2nd line of defence approach to risk management.
    • Supporting the Compliance Team in the preparation and collation of regulatory reporting.
    • Providing guidance on the creation of, and review and approval of financial promotions and customerfacing documents to ensure that they adhere to the relevant regulations and procedures.
    • Developing compliance working papers, testing and management information including outcomes reporting.
    • Providing oversight and maintenance of agency, introducer, appointed representative and thirdparty contract management variations, assessments, and maintenance.
    • Completion of general compliance team administrative tasks, record keeping and maintenance.
    • Compliance /quality assurance and or risk management experience, within an FCA regulated business.
    • Good understanding of general retail insurance products.
    • Good working knowledge e of the UK regulatory framework and experience with FCA or PRA handbooks, such as IDD and FCA ICOBS, SYSC, SUP, PROD, DISP. Commercial awareness of changing regulatory requirements and trends.
    • Understanding of application and enhancement of 3LOD risk management model.
    • Capable of compiling, analysing, and interpreting management information and data to facilitate problemsolving, decisionmaking and effective change.
    • Ability to develop strong, effective relationships at all levels of business, adapting content. In return, you will receive a competitive basic salary and a range of company benefits, including support towards relevant professional qualifications. For the ambitious, you will receive an array of opportunities to progress as the business develops. In addition, this forwardthinking firm is a big advocate of flexibleworking.
    General Insurance and Financial Services Recruitment

    #
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