1st Line Quality & Compliance Officer

We have a superb opportunity for you here, if you have 12 months plus insurance experience in Personal Lines or SME commercial to join a major player in the UK Insurance market as a 1st Line Quality & Compliance Officer. They will provide full training on the file audit and call monitoring aspect of the role, so this represents a great chance for those who would like to move into the Quality and Compliance space.

This role can be based from their Leicester, Chesterfield, Lincoln, Scunthorpe or Derby office, but with regular travel required across the other sites too. 

Reporting to the Quality & Conduct Manager for the region you'll focus will be on driving the development and continuous improvement of their approach to the internal control of regulatory and conduct risk, ensuring good customer outcomes. This is a first line of defence role, reporting directly to senior management of the business.

They are committed to conducting their business in a fair, honest, and open manner and seek to promote appropriate behaviour across all aspects of their business operations whilst ensuring fair and consistent outcomes for their customers. Their policies and procedures are designed to avoid engaging in any behaviour that could cause problems to consumers, market integrity or be anti-competitive.

Your day to day role here will be:-

• Carry out an allocated number of file audits per month for all offices within the Hub, using the File Checker System, to demonstrate compliance with key regulatory standards.
• Identify key areas of concern highlighted by the file audits and ensure appropriate action and training needs are communicated to individuals and Management.  Assist in delivering training as needed.
• Day to day operational implementation of risk and compliance processes to ensure good customer outcomes and regulatory compliance.
• Assist in investigating customer complaints and respond with a fair outcome-based resolution within regulatory and business requirements.  Maintaining the complaints register. Analyse trends and review training needs and areas for improvement.
• Identifying, reporting and escalation of regulatory breaches, loss events and systemic issues ensuring suitable remedial and preventive actions are implemented.  Analyse trends and review training needs and areas for improvement.
• Process Data Subject Access Requests (DSAR) with required timescales.  
• Initial investigation of sanctions matches.  Eliminate non-matches.
• As and when required undertake projects and/or provide specialist input into wider business initiatives.
• Undergo ongoing mandatory training as needed.

As above, to be considered for this role, you will ne relevant previous work experience within an Insurance FCA regulated business providing or distributing products to commercial customers or retail consumers. within General Insurance. You will also need strong inter-personal skills, be an effective communicator – written and verbal to a range of audiences e.g. customers, operational staff and senior management as well as a self starter, who uses initiative, and is able to operate independently. You will also need to possess good attention to detail, excellent investigation and analytical skills and be a customer focused individual.

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

If you would like to discuss this role in more detail, please contact Kieran at CKB Recruitment.