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