Senior Compliance OfficerReports to:
Compliance ManagerBasic Salary :
£30,000-£35,000 per annumHours:
40 hours per weekLocation:
Our client have grown from 2 to over 250 employees and achieved great success through grit, determination and always remembering their roots. Retaining their values through growth and change is key to their DNA and unique culture.
Our client's business "why" is to reduce the life insurance deficit in the UK by protecting as many families as possible. They do this through investing in their people, products and innovation to deliver the very best customer experience.
They are the # 1 Broker on Trust Pilot, an accolade they are incredibly proud of as it is based entirely on customer feedback.
This newly appointed position will require someone who has a strong work ethic, is able to be pragmatic and work on their own initiative, together with a strong desire to support the business.
You will ensure that all required areas are monitored effectively, and that areas identified for improvement are reviewed with appropriate advice and guidance on potential resolution offered, ensuring appropriate sign off is in place.
Within this role you'll need to have a positive, progressive approach to work in order to inspire other team members and colleagues. Key Responsibilities:
- Support the Compliance Manager and Head of Compliance with the delivery of the compliance monitoring programme, initiating audit and policy updates where required
- Prepare compliance monitoring KPIs and support the completion of associated reporting
- Support the compliance manager to deliver business wide competence analysis, outcome testing and report on findings
- Provide the main support and sign off function for financial promotions across the business, in particular working with our marketing team to enable the smooth delivery of ideas from conception to publish and subsequent review
- Deliver the quality control "check the checker" audits and findings/outputs for our quality assurance, compliance and customer experience teams
- Prepare and deliver compliance, quality and customer experience KPI and competence reporting in line with the support function competency framework, liaising with relevant managers and team leaders where required
It is Birchfield Recruitment's policy, that we to respond to all applications within seven working days. If your application is not taken forward by us your details will not be retained unless you specifically request us to do so.Birchfield Recruitment is a Recruitment Agency and is advertising this vacancy on behalf of one of its Clients.
- Strong and demonstrable compliance experience working in a regulatory role
- Strong working knowledge of the FCA handbook - in particular ICOBs, PERG, SYSC and DISP
- Strong verbal and written communication skills - able to clearly articulate report findings and communicate recommendations and actions to be taken
- Strong analytical skills, able to interpret data and report on findings
- Attention to detail and accuracy of work
- Ability to manage workload to ensure targets and timescales are met
- Able to show initiative and make appropriate business led decisions
- Professional attitude - articulate, organised and customer focused
- Strong computer skills including Microsoft Office (Word, Excel, Outlook)