Compliance Technical Manager

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2022-03-30 15:06:021970-01-01The Yes Agency
Job TypePermanent Full Time
AreaManchester, UKCheshire, UKManchesterUKCheshire
SectorComplianceCompliance - ManagerCompliance - ExecutiveCompliance - Assistant
Salary£40,000 to £48,000
Start Date
Job RefUKWide Broker
Job Views93
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
  • 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

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