Senior Compliance Executive - REMOTE
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| Job Type | Permanent Full Time |
| Location | REMOTE |
| Area | Manchester, UKLancashire, UKCheshire, UKLeeds, UKLondon, UKBirmingham, UKLiverpool, UK |
| Sector | General InsuranceComplianceCompliance - ManagerCompliance - ExecutiveCompliance - Assistant |
| Salary | £50,000 to £75,000 |
| Start Date | |
| Advertiser | Yvonne Eddleston |
| Telephone | 07902556022 |
| Job Ref | UKYMAN>NIK |
| Job Views | 423 |
- Description
Reports to: Head of Consultancy Location: Home Based
Purpose
Reporting to the Head of Consultancy, the Compliance Consultant will be responsible for providing proactive and pragmatic compliance consultancy services to a portfolio of clients, presenting compliant solutions in both general and more complex compliance areas including appropriate remedial action.
You will adopt a consultative approach, ensuring your client portfolio is kept up-to-date with relevant regulatory issues, maintaining and developing strong relationships with such clients, seeking new business opportunities and growth areas and you will build strong, lasting relationships with clients and prospects.
Core Responsibilities
· Be responsible for managing and delivering all contractual requirements for your portfolio of clients.
· Organise your own diary and time to ensure that the delivery of consultancy services is arranged to provide an effective and value adding service to clients.
· Build a sound reputation with clients that encourages recognition of the value of the relationship and facilitates the provision of additional services where appropriate.
· Support the wider team in delivering services in line the agreed business strategy.
· Keep abreast of current issues in the regulatory markets, where relevant research and develop knowledge required to deliver appropriate compliance support for client firms, including maintaining a reasonable level of continuing professional development.
· Promote additional services (e.g. Searchlight, Dev Zone Plus, IHRS) to develop cross and upsell opportunities.
· Shared ownership of accuracy and integrity of CRM/activity recording systems.
· Where required, support bespoke customer events/training, representing the firm professionally at both own and other industry events.
Core Activities
· Provide clients with pragmatic and proportionate advice including considered recommendations, alternative compliance solutions and appropriate remedial action in order to comply with FCA requirements or to enhance or improve internal systems and add value through service delivery.
· Develop and maintain effective and proactive open working relationships with clients and specifically allocated relationship managed firms.
· Be able to identify trends and breach of regulatory compliance.
· Where required; prepare written material for and present at, Compliance Workshops/Webinars.
· Participate in and actively support business projects as directed, including the delivery of single service/solutions/project-based compliance services.
· Maintain a working knowledge of Group business model and propositions.
· Work closely with all other business units to ensure the smooth delivery of services.
· Negotiate client renewals for allocated clients.
· Provide relevant MI as requested by manager to ensure effective delivery of services.
· Keep knowledge and skills up to date, maintaining appropriate CPD records to demonstrate such and react positively to guidance provided by your manager.
· Be flexible in your arrangements as the role requires a degree of travel which is client-led.
There may be variations within this role profile subject to business needs and individual skill sets.
Skills and Experience
· Experience in a financial services compliance role (preferably GI sector).
· Experience of working within a general insurance brokerage/insurer
· Wide-ranging knowledge of FCA Rules and Principles and able to research complex issues in-depth relevant to the client base and business strategy.
· Able to recognise the impact of internal and external factors on business risks.
· Highly organised with a strong track record of, and focus on, client service to include managing and meeting deadlines and managing and delivering client requirements while bearing in in mind UKGI commercials.
· Able to establish good relationships with both operational and senior persons at major clients; being available promptly and prioritising communications with key clients
· Able to lead meetings, set agenda and provide succinct minutes in a timely manner
· Strong problem-solving skills, mathematical, quantitative, and analytical skills.
· Good written and oral communication and presentation skills to stakeholders.
· Detailed knowledge of products and services throughout the business and an awareness of its competitors.
· Able to prioritise and plan work effectively.
· Proactive team leader and player.
· Able to work independently to achieve agreed objectives.
· IT Skills - good working knowledge of the Microsoft Office suite. An ability to use modern technologies, including online videoconferencing services (e.g. Zoom, MS Teams).
Essential Education/Qualifications
· Robust working knowledge of industry good practice and compliance standards including understanding and application of governance frameworks, relevant methodologies and knowledge of emerging practices in the context of the UK financial services industry.
· Fundamental Principles of Insurance.
· FCA, (and/or PRA), ICO, and appropriate CMA Regulations: Level 3
Desirable Qualifications
· Educational attainment at degree level.
· ACII qualified or general insurance qualification.
· Compliance qualification and/or Supervisory qualification.
For more information ring Yvonne Eddleston on 07902556022