- The ideal candidate will have a strong insurance background from a compliance perspective.
- You will have expert level ability in AML and a strong understanding of ICOBS and consumer credit rules.
- Completing full audits for General Insurance and protection on advisor’s files
- Sign off financial promotions
- Handling complaints
- Assessing risk
- Prepare compliance reports for management
- Observing client meetings and giving structured feedback
- Carry out Introducer screening in accordance with Compliance procedures
- Support the Compliance Department as required
- Good awareness of UK regulations, including the FCA Handbook, AML, Sanctions, JMLSG guidance notes, GDPR, TCF and their implications upon business activities
- Is able to identify and highlight Compliance issues within the business
- Contributes positively through clear communication personal impact and behavioural flexibility
Package includes a performance-linked bonus and a basic salary linked to experience