Compliance Officer

Heat Recruitment
14 May 2017
13 Jun 2017
Contract Type
Full Time

An fantastic opportunity for a Compliance professional to join a well respected and successful Broker based in the Taunton area.

You will be instrumental in ensuring the business sustains a culture of compliance; putting clients first, ensuring the use of robust processes to demonstrate consistent delivery of the right client outcomes

This is a challenging role for a versatile and approachable individual. In return for your hard work and dedication you will be rewarded with a generous salary, excellent company benefits and a supportive working environment where your career development valued.


Provide support and work closely with the Group Compliance Manager, to ensure all compliance and T & C requirements are met

Assist with specific projects involving regulatory input as and when required

Provide support in developing, implementing and maintaining regulatory processes and procedures

Assist with reviewing, monitoring and approving Financial Promotions

Assist with the induction of new joiners across the Group businesses

Complete as a minimum bi-monthly dip-testing on quality checks to ensure checking continuity throughout the Group businesses

Review monthly monitoring to ensure that minimum amounts of business are reviewed

Ensure competency spreadsheets are reviewed and maintained and competency memos are issued as and when required

Review and monitor regular knowledge testing is being completed in line with T&C Plan

Review and update regulatory knowledge tests and ensure ongoing testing is completed for all group businesses

Provide regulatory training as and when required

Data Controller for all Group businesses


Previous experience in a compliance role is essential

Thorough understanding of FCA regulation essential

Experience in General Insurance/Financial Services

If this specific vacancy is not exactly what you are looking for please contact us to discuss other opportunities we may be recruiting for that aren’t necessarily advertised; you can send your CV to this vacancy or contact us directly. Additionally, refer a friend or colleague to us and receive £200 in vouchers if we assist them in securing a new career.

Synonyms: Compliance, FCA Regulation