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Compliance Assistant
Manchester
The Compliance Assistant supports the Head of Compliance and Compliance Officer to ensure that business processes and procedures are followed to maintain regulatory compliance and in monitoring internal controls and identifying and reporting risks.
Principal Accountabilities
Complaints - Support the management of customer complaints to FCA rules, identifying root cause of the complaint. Document, assign and monitor actions and maintain compliant files.
Claims - Support the monitoring of third-party claims service performance and claims activity. Document and communicate findings.
Audit and Compliance - Support the auditing of customer files, contact centre calls and administration emails to ensure quality and compliance. Support the Compliance Officer in reviewing marketing material, websites and customer documents to ensure compliance with regulators. Audit third party claim file and calls to ensure quality and compliance. Document findings and actions of all compliance reviews. Assist in the gathering of information in response to requests, completion of reports, assessment and compliance monitoring and support in the administration of any breach notification.
Stakeholder Management - Manage enquiries and support, monitor and report on the ongoing training requirements to ensure FCA compliance.
FCA Consumer Duties Responsibilities - related to products and services, price and value, consumer understanding, customer support and ensuing fair customer treatment.
Experience/Attributes Requirements
Essential - Knowledge of FCA regulations within a compliance environment. Experience of dealing with insurance related products in a regulated environment and regulated complaints. A proven track record in showing a solid commitment to high ethical standards. Critical problem-solving and analytical skills. Excellent verbal and written communication skills.
Desirable - Experience in the implementation and monitoring of organisations’ compliance programmes and regimes.
Technology Requirements
Essential - A good working knowledge of Microsoft packages, particularly Word, Excel and PowerPoint.
