Compliance Assistant

We are currently recruiting for a well-known insurance group that has shown some really impressive organic growth over the last couple of years and offers a great place to work for those who wish to progress their career in a warm and supportive environment.

The company is now keen to bring on board a Compliance Assistant to their team in Gateshead in a fast growing office. 

The firm specialises in providing bespoke insurance solutions to a diverse range of commercial and corporate customers and generates a great deal of referral business as a result of its professional approach.

The company is owner-led, and as a result, offers fantastic career development for hard-working and ambitious people.

Overview: To support the Head of Compliance & Audit in the scheduling and completion of scheduled compliance requirements associated with a Appointed Representative Network.

Essential Duties & Responsibilities:

• Responsible for scheduling and completing compliance requirements for the firms Appointed Representatives (ARs) Network.
• Recording of material regulatory breaches, or other risks identified by the audit team to the Head of Compliance and Audit
• Providing feedback to Senior Management on the Technical competence of allocated ARs
• Acting as a point of contact within the compliance team for the companies ARs
• Assisting with the management of, and providing responses from the Compliance Inbox
• Supporting the Head of Compliance & Audit in the production of Management Information and Monthly Reports
• Assisting the Head of Compliance & Audit, and other members of the Senior Management Team with Ad hoc projects as required
• Complaint management 
• Maintain awareness of company standards and relevant FCA handbooks (ICOBS, SYSC, DISP, SUP, CASS 5 etc)
• Complete mandatory Continuing professional Development set by the Head of Compliance and Audit, subject to a minimum of 15 hours PA.
• Adhering to the FCA’s Code of Conduct
• Supporting the company in the identification, assessment, and documentation of operational/regulatory risks and relevant controls

To be considered you will need to be educated to GCSE level or have equivalent qualifications, with previous experience working in an office or customer-service based role as a minimum, though ideally you will have previous experience in General Insurance and/or Insurance Protection sectors and/or previous experience in Compliance/Risk/Governance/File Auditing Roles

Starting salary on offer is £27k-£30K dependant on experience.

Please note this is a fully office based role, full time Monday to Friday 9am - 5pm.

If you would like to discuss this role in more detail, please contact Lesley @CKB recruitment.

Location: Gateshead | Salary: 27000 - 30000 per year | Job type: Permanent | Posted: 28/11/2024