Compliance Officer

COMPLIANCE OFFICERLEEDS + HYBRID WORKING SALARY UP TO £35,000THE 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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