Compliance Technical Manager
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| Job Type | Permanent Full Time |
| Location | Cheshire |
| Area | Manchester, UKCheshire, UK |
| Sector | ComplianceCompliance - ManagerCompliance - ExecutiveCompliance - Assistant |
| Salary | £40,000 to £48,000 |
| Start Date | |
| Advertiser | Yvonne Eddleston |
| Telephone | 07902556022 |
| Job Ref | UKWide Broker |
| Job Views | 191 |
- Description
- Our Client a UK wide Insurance is seeking a Compliance Specialist to join their Cheshire Based Operation. The role involves the following:-
- Provide proactive and reactive compliance support services to 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 other support material for clients including published compliance guidance
- 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
Core Activities - 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
- Assist in the review of complaints on behalf of clients including investigating the complaint on behalf of the client and drafting response letters
- Review client customer journeys and provide guidance on areas of regulatory risk
- Provide technical opinions, responding to ad-hoc and routine regulatory queries
- 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 and provide valuable material for inclusion within weekly regulatory updates
- Prepare written material for and present at Compliance Workshops/Webinars if appropriate
- Ensure that all administration processes are followed
- Work as part of a team to ensure that team service standards are met
Skills/Experience - Relevant experience in a financial services compliance role (preferably general insurance broker/insurer but FS will definately be considered) 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 good written and oral communication skills with an attention to detail
- 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 ICT skills
- Good interpersonal skills and a true team player
Essential Qualifications - Educational attainment at degree level desirable
Desirable Qualifications - Have or be willing to work towards core industry and other relevant qualifications e.g., Cert Cii, DIP Cii, ACII or other general insurance qualification
- Have or be willing to work towards compliance qualification