This national broker has delivered sustained organic growth over several decades, and despite now having a presence in several UK locations, still very much has the feel of an indecent broker that is free from outside influences such as external shareholders or meddlesome parent companies.
It continues to reinvest its profits in the business; for example, it is only one of 20 brokers to hold the prestigious ISO9001 award and has a very robust infrastructure. The firm is headed by a strong management team, all vastly- experienced, principled and passionate brokers who take the duties of the profession very seriously. Central to this, is a commitment to delivering the highest levels of client service, and ensuring that all work is carried out in a fashion that complies with both FCA regulations and inhouse processes.
The need has arisen for an Assistant Compliance Officer to join the Head Office (although our client takes a flexible approach to working from home) to assist on accounts held by branches across the UK. Ideally, you will currently be working in a compliance or oversight capacity, although we welcome applications from those brokers who can demonstrate a genuine commitment to forging a career within this fascinating niche.
Reporting to the Group Compliance Manager, your duties will include:
- Supporting the development of the Group in accordance with its plans and objectives.
- Helping to develop the risk management and compliance framework in all areas of the group’s business.
- Helping to manage day to day regulatory compliance and governance for the group.
- Assisting the Group Compliance Manager to deliver against the annual compliance monitoring plan.
- Assisting in the review of client files against the FCA’s ICOBS requirements and following-up missing information with the offices in line with group processes and procedures.
- Assisting in the provision of regular internal compliance reports.
- Dealing with day-to-day compliance queries raised by the group’s offices.
- Maintaining central records and registers to a high standard.
- Working on projects under the direction of the Group Compliance Manager.
The ideal candidate will possess the following skills, experiences and attributes:
- Good knowledge of UK regulatory requirements gained through experience in an insurance broking environment.
- Strong organisational skills.
- Excellent attention to detail.
- Strong communication skills, written and verbal.
- Ability to manage a varied workload and meet tight deadlines.
- Good IT skills on core Microsoft Office systems.
- Experience of Acturis.
- Desire to work in a dynamic, fast-growing company environment.
This highly professional brokerage holds integrity, fairness and client service in the highest regard. As such, you must pride yourself on acting with the utmost honesty and diligence; upholding the Group’s values at all times, whether dealing with colleagues, clients or other stakeholders such as insurers. You must also be able to build a positive, transparent and honest culture, so it is essential that you are able to engage with people at all levels from every walk of life.
In return, you can expect a generous salary and comprehensive benefits package, including support with professional qualifications under the CII.
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General Insurance and Financial Services Recruitment