Field Compliance Consultant

2022-03-30 15:09:422022-06-02The Yes Agency
Job TypePermanent Full Time
LocationOpportunities to be based on offer in both the North and South o
AreaManchester, UKLancashire, UKCheshire, UKLeeds, UKLondon, UKBirmingham, UKLiverpool, UKManchesterUKOpportunities to be based on offer in both the North and South o
SectorComplianceCompliance - ManagerCompliance - Executive
Salaryupto £65,000
Start Date
Job Views128
Our Client a UK wide Insurer is seeking a Consultant to call on their clients to ensure they are fully covered compliance wide.  The roles can be based in either the South or he North of the UK
Reporting to the Field Consultancy Manager, the field-based Compliance Consultant will be responsible for effective delivery of the field-based suite of support services and the clients allocated to you.
Providing proactive compliance consultancy to service clients, presenting compliant solutions, including appropriate remedial action and encouraging any business development or new opportunities to support the business to implement the agreed strategy.
Core Responsibilities
  • 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
  • Provide client servicing and consultancy services to best market standardenabling clients to develop, monitor and maintain compliance standards to mitigate risks within their business
  • Prepare detailed unambiguous, verbal and written feedback, coherent reports and action plans for member firms to enable them to maintain and enhance compliant standards
  • Deliver effective practical compliance, supervisory and training support to clients, to ensure they maintain and enhance compliance standards
  • Proactively undertake client management activities, building trust and developing client relationships
  • Support the Field Consultancy Manager to devise and implement compliance initiatives and solutions to ensure first class delivery of service to clients 
  • 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
Core Activities
  • Organise and manage own diary to ensure the delivery and provision of consultancy services to own client allocation
  • Develop and maintain robust relationships with our clients, increasing knowledge and understanding of their business
  • Provide written and verbal advice, including technical opinions to clients on compliance related matters in a professional and competent manner:
    • Advising key stakeholders on FCA issues, analysing client issues and assisting in problem solving via a consultative approach
    • Undertake compliance audits and health checks providing detailed coherent solutions, project plans, reports and RAG rated action plans for clients
    • Undertake client file reviews, and other compliance monitoring, QA and QM activity
    • Undertake a comprehensive review of client queries in relation to their compliance arrangements
    • Develop governance and compliance frameworks development of governance and compliance frameworks relevant to clients’ needs, drafting, reviewing and updating firm specific policies and procedures  
  • Deliver effective practical training and competence support to member firms to ensure they meet their regulatory and business requirements
  • Undertake delegated authority audits on behalf of key partner(s)
  • Undertake projects as and when required, to support the needs of the business or to achieve departmental objectives
  • Comply with processes and procedures for field-based consultancy service delivery that underpin and support the business strategy
  • Present at Compliance events as required.
  • Ensure that all administration processes are followed
  • Relevant experience in a financial services compliance role (preferably general insurance broker/insurer) of at least 5 years
  • Good understanding and knowledge of FCA Rules and Principles
  • 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
  • Able to work independently to achieve agreed objectives
  • Strong problem-solving skills, mathematical, quantitative and analytical skills
  • Good written and oral communication and presentation skills to stakeholders with an attention to detail
  • 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
  • Have or be willing to work towards supervisory qualification

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