Compliance Support Officer

Broker Network
Up to £20,000 per annum
30 Sep 2017
03 Nov 2017
Contract Type
Full Time

Job Outline:To provide a market leading service to the membership, giving support and guidance around a variety of compliance subjects whilst ensuring that the Network maintains their own compliance.

Principle Objectives & Responsibilities

·Develop valuable and ongoing working relationships internally and externally through effective communication, efficient working methods and dedicated support.

·Responsible for ensuring members receive telephone and email support in line with the proposition.

·Provide support and guidance in the preparation of marketing literature for members marketing material and websites, maintaining accurate and fully documented records.

·Responsible for providing quotations and temporary licences to members for Broker Assess, and promoting Broker assess to members.

·Have administrator responsibilities for Broker Asses for Members

·Where required conduct webinar training for members on Broker Assess

·Assist with the organisation and administration of external training workshops, seminars, roadshows and team meetings and the preparation of any associated documents, as and when necessary.

·Assist with the administration of all departmental records including but not limited to CRM records, filing systems.

·Assist members with compliance queries and respond within Departmental SLA’s

·Liaise with other departments and provide support for new staff

·Production and/or review of Compliance documentation as required

·Maintain Member Risk profile for members, and provide report to Head of Department

·General support and administrative assistance to the wider Risk & Compliance function.

Key Performance Indicators

·Responsible for effective delivery of the proposition and the member service applicable in accordance with the written procedures and within the agreed service level agreements.

·Ensure that accurate records are maintained and all task administration is completed in accordance with agreed service level agreements.

·Ensure all required reports are delivered to Head of Department within required timescales

·Ensure knowledge remains up-to-date with current regulatory requirements.



·Experience with Word, Excel, Outlook & Databases

·Previous office experience

·Good level of general education

·Excellent customer service

·Strong communication skills both verbal and written

·Good attention to detail

·Ability to work independently and manage time effectively


·Good organisational skills

·Strong numeracy skills

·Ability to work to deadlines and under pressure



·Team Player

Desirable but not Essential

·CII Qualification

·Working knowledge of FCA Regulations

·Experience of Working in a Risk & Compliance Role

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