Compliance and Training Manager

Smart 10 ltd
12 Feb 2017
12 Mar 2017
Contract Type
Full Time

Title: Compliance and Training Manager
Salary: £25000 to £35000
Location: Stevenage
Contract: Permanent

Are you an experienced Compliance and Training Manager looking to take on a new challenge?

A forward thinking and expanding Insurer in Stevenage are currently seeking a Compliance Manager to join their successful organisation.

This individual will work closely with all of the businesses areas, monitoring the systems and controls in place to meet their obligations. A large part of this role will involve daily monitoring of activity to identify possible compliance breaches, taking remedial action where necessary and assessing and reporting on implications to the business.


  • Keep up-to-date with regulatory developments
  • Co-ordinate with Senior Management and the Compliance Consultant to produce high level compliance manuals & reports
  • Assist the Senior Management in ensuring that the firm responds appropriately to requests for information from the FCA.
  • Review reporting lines to ensure any changes in personnel are reflected in the firm’s documentation and communicated to all staff members
  • Ensure that the fitness & propriety of all approved persons and advisers is reviewed on an annual basis
  • Review job descriptions / key tasks for all approved persons on an annual basis
  • Ensure that all staff members are given access to the FCA’s Statements of Principle and Code of Practice
  • Ensure that up-to-date, relevant management information is reviewed on a regular basis and is acted upon.
  • Ensure that the firm has a conflicts of interest policy, that the business is monitored to identify possible conflicts ect
  • Ensure that the business culture of treating customers fairly is communicated to all staff members
  • Ensure that adequate records are kept throughout the organisation to demonstrate compliance within FCA requirements
  • Ensure that the sales process is supervised and monitored according to the training & competence plan
  • Control the Compliance diary - maintain high level documents on an ongoing annual basis
  • Carry out quality audits on a monthly basis
  • Ensure an adequate training & competence plan
  • Ensure that recruitment & induction procedures comply with the firm’s training and competence plan

Skills/experience required:

  • Excellent understanding of the insurance market
  • Knowledge of the requirements and outcomes of the FCA rules a
  • Excel, Outlook and Word competent
  • Outstanding and effective communication skills
  • Able to work to targets, both individual and team.
  • Able to work within a busy and fast paced environment
  • Excellent time keeping / attendance
  • Able to overcome audit objections in a compliant, professional manner
  • Ability to identify a customer’s expression of dissatisfaction and follow the complaint procedure
  • A team player but also able to work independently
  • CII (within 24 months)
  • Excellent standard of English
  • Strong time and project management skills; including managing conflicting demands
  • Knowledge and understanding of Compliance requirements

Company benefits:

  • 25 days annual leave (+ bank holidays)

  • A health cash plan (effective after probation)

  • Auto enrol Pension Scheme will be introduced from May 2017

  • Support for those undertaking relevant professional qualifications

  • Active Sports & Social Club

  • Employee Assistance Programme

Smart10 Ltd is a "Multi Award Winning" and Independently run recruitment consultancy which specialises in both Permanent and Temporary positions across all Business Support roles. Smart10 have become renowned as one of Hertfordshire's most dynamic recruitment companies. As a business, we won the Judges Award in 2012, Best New Business Award in 2013 and 'Business Person of The Year in 2016, at The Hertfordshire Business Awards, for being the most "promising" and "innovative" company within Hertfordshire.

We are proud to work with a leading number of blue-chip companies as well as smaller SME’s throughout the region. The smart10 team are an energetic and smart team of highly experienced and professional recruitment consultants who are committed at exceeding both our candidates and client’s expectations.

Should you be short listed for this position, a member of the Smart10 team will be in touch with you in the next five working days. Good luck with your application!