Job Information

Insurance Compliance Executive : Leatherhead : Surrey

Basic up to 50k DOE, Plus Flexible Benefits, Life and Medical Insurance

Our client is a leading Independent Broker in the Uk is looking for a compliance manager to

assist in the running of the Groups Compliance and legal department in Leatherhead

The role

As a Risk and Compliance manager you will be working closely with the Company Directors to help ensure the company complies with relevant regulation. Your other responsibilities will include:

• Reviewing internal policies and procedures.
• Maintaining the various Risk and Compliance records and control logs and associated evidence either in paper or electronic form (or both).
• Managing the Risk and Compliance archiving and diaries including liaising with people within the business regarding outstanding compliance matters.
• Assisting in maintaining compliance policies, procedures and monitoring processes, to ensure compliance with the relevant FCA rules.
• Assisting in providing advice to staff on FCA rules and regulations.
• Supporting 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.
• Assisting with the provision of guidance on Risks, Conflicts of Interest facing the business and Breaches highlighted by the business.
• To ensure confidentiality and security of all company and customer documentation and information.
• Building and maintaining strong working relationships across departments within the company.
• Delivering high levels of customer service including effective dispute/complaint resolution and verbal/written communications

To apply for this role please complete the online registration form and a consultant from Cameron James will be in contact with you.