Compliance Assistant

Job title:

Compliance Assistant

Company

Massenhove Recruitment

Job description

Job Title – Compliance AssistantJob market – Compliance / RegulatoryCompliance Assistant – About the roleTo support the Head of Compliance & Audit in the scheduling and completion of scheduled compliance requirements associated with an Insurance Broker / Appointed Representative Network.Compliance Assistant – Key dutiesResponsible for scheduling and completing compliance requirements for the company’s Insurance Broker network.Recording of material regulatory breaches, or other risks identified by the audit team to the Head of Compliance and AuditProviding feedback to Senior Management on the Technical competence of allocated ARsActing as a point of contact within the compliance team for Appointed RepresentativesAssisting with the management of, and providing responses from the Compliance InboxSupporting the Head of Compliance & Audit in the production of Management Information and Monthly ReportsComplaint managementMaintain awareness of regulatory standards and relevant FCA handbooks (ICOBS, SYSC, DISP, SUP, CASS 5 etc)Supporting in the identification, assessment, and documentation of operational/regulatory risks and relevant controlsManagement of monthly MI reports to highlight trends & escalate where appropriateUpdating policies & procedures on the company intranet siteCompliance Assistant – Key requirementsQualifications in Financial Services e.g. Cert CII or equivalents or willingness to obtain relevant qualificationsPrevious experience in Compliance/Risk/Governance/File Auditing RolesPrevious experience working in an office or customer-service based role.Ideally there will be previous experience in General Insurance and/or Pure Protection sectorsAlong with our client, we are committed to a diverse workforce and as such recruit from a wide available pool of talent, with the hiring, assessment and selection process being fair, free from bias and one which ensures the right person is selected for the job, based on merit. We treat colleagues, candidates, clients, and business partners with equality, fairness and respect, regardless of their age, disability, race, religion or belief, gender, sexual orientation, marital status or family circumstances.A copy of our D&I policy can be made available upon request.

Expected salary

Location

Gateshead, Tyne and Wear

Job date

Sat, 30 Nov 2024 01:45:39 GMT

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