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My Southeast coast based client, a large General Insurance business is seeking a Risk & Compliance Officer to assist the Director of Risk and Compliance to provide guidance to the business to help the business ensure that regulatory and risk controls are in place throughout the business and all regulatory obligations are adhered to in conjunction with the requirement of the business.
- To deputise for the Director of Risk & Compliance as required
- To maintain the various Risk and Compliance records and control logs and associated evidence either in paper or electronic form (or both).
- To manage the Risk and Compliance archiving and record keeping in general.
- To manage the Risk and Compliance diaries including liaising with people within the business regarding outstanding compliance matters.
- To assist in maintaining compliance policies, procedures and monitoring processes, to ensure compliance with the Financial Services and Markets Act and the relevant FSA rules.
- To assist in providing advice to senior management and staff on FSA rules and regulations such as the Data Protection Act (DPA).
- To support the provision of a compliance authorisation service ensuring that any wording to be published by the company with regulatory implications, (whether a hard or soft copy), have been checked, signed off as compliant and a suitable record maintained.
- To reinforce the culture and core values of the client to ensure the development and maintenance of a compliant culture through appropriate behaviours and actions.
- To assist with the provision of guidance on Risks, Conflicts of Interest facing the business, to help maintain a logs of Risks & Conflicts and assist in the regular review and update of Risks & Conflicts facing the business
- To assist with the provision of guidance on Breaches highlighted by the business, to help maintain a log of Breaches.
- To provide assistance with Risk and Compliance administration generally.
SKILLS/EXPERIENCE AND QUALIFICATIONS
- A minimum of two years compliance experience in an insurance environment
- Insurance broking experience (preferable)
- An understanding of working in a regulated environment
- To have excellent organisation skills.
- To be able to communicate effectively at all levels