Compliance Officer

• Provide proactive and reactive compliance support services to UKGI clients and colleagues

• Prepare detailed unambiguous, verbal and written feedback, coherent reports and action

  plans for clients to enable them to maintain and enhance compliant standards

• Handle compliance related queries

• Contribute to the production of compliance and technical material including the maintenance

  and development of the online Compliance Manual

• Develop appropriate procedures and guidance for clients including published

  compliance guidance material

• Maintain the integrity of CRM and other data capture systems through accurate record

  retention

• Record and provide relevant information as requested to ensure effective delivery of services

• Be aware of the impact of emerging regulatory risk on the business

• Build a sound reputation with clients that encourages recognition of the value of the

  relationship and facilitates the longevity and scope of the relationships

Provide email and telephone support to clients on compliance related queries including verbal

and written guidance/feedback in a professional and competent manner:

Review of financial promotions including websites

Review of client facing documentation and TOBAs

Assist in the preparation of authorisation applications for new firms and other FCA

applications, notifications or responses

Review of draft RegData and other FCA required returns

o

• Contribute to the development of governance and compliance frameworks relevant to clients’ needs

• Deliver effective practical training and competence support to member firms to ensure they meet their regulatory and business requirements

• To undertake projects as and when required, to support the needs of the business or to achieve departmental objectives

• Pro-actively identify issues / guidance needed for members and colleagues through relevant horizon scanning

• Prepare written material for and present at Compliance Workshops/Webinars if appropriate •
  •

Assist in the review of complaints on behalf of clients including investigating the

complaint on behalf of the client and drafting response letters

Ensure that all administration processes are followed

Working as part of a team so that team service standards are met

• Relevant experience in a financial services compliance role (preferably general insurance broker/insurer) of at least 3 years

• Good understanding and knowledge of FCA Rules and Principles

• Able to research rules and regulatory requirements and present findings through g

• Strong problem-solving skills, mathematical, quantitative and analytical skills

• Able to recognise the impact of internal and external factors on business risks and build

  relationships

• Able to take a pragmatic approach to organise own/Team workload in order to meet

  commitments

• Effective administrative skills and good IT skills

ood written

and oral communication skills with an attention to detail

•

Good interpersonal skills and a team player

• Educational attainment at degree level desirable

• Willing to work towards core industry and other relevant qualifications e.g., Cert Cii, DIP Cii,

  ACII or other general insurance qualification

• Willing to work towards compliance qualification