Our client are a national broking company who have expanded their business through acquisitions over the last few years. As a result of this they are seeking a Compliance business partner to join them working across their branches ensuring that they are working in accordance with the Company's broking procedures, ensuring that processes are current, accurate and strictly in accordance with FCA Regulations. Responsibilities/ Key Accountabilities -
• Undertake quality monitoring of broker files ensuring adequate recording and demonstration of compliance procedures as per broking procedures
• Work with broking staff to ensure findings are understood and remedial actions are undertaken.
• Work with broking staff to respond to queries relating to quality assurance audits & broking procedures
• Offer training and advice to employees on quality assurance and broking procedures where required To undertake any other duties as requested on an ad-hoc basis. Key skills and experience
• Detailed knowledge of FCA Rules and Procedures as they apply to General Insurance
• Good knowledge of Microsoft Windows including Words, Excel, and PowerPoint.
• Basic knowledge and operation of Acturis an advantage. Competencies Required
• Positive Attitude
• Customer Focus
• Quality Focus
• Commercial Awareness
• Communication
• Teamwork
• Self-Development Whilst the main base for this role would be at one of their Northern branches the post holder will be required to travel to the company's other branches as part of the role. The company offers a competitive salary, benefits and subsidised travel. If you would like to discuss this role in more detail then please contact Lisa Corbett.