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Our client is a successful, respected directly authorised life brokerage their directors have been working alongside protection providers for over 30 years and along with our advisor's have a wealth of knowledge within the market.
As part of their growth, they are seeking to appoint an experienced Compliance Manager is to oversee and pro actively manage the protection advisers and the compliance team, providing initial training and ongoing support and guidance.
Monitoring and reporting mechanisms are the backbone of effective compliance management. Compliance Officers establish systems to detect and address non-compliance before it escalates
The successful person will have a strong technical based background coupled with leadership and coaching qualities that will enable the team to reach their true individual and collective potential.
Key Responsibilities
- Day to day leadership and oversight of the compliance function
- Train, coach, develop and upskill the protection advisers and compliance staff through regular coaching, performance management and by leading by example.
- Creation and ownership of all policies and processes in relation to Internal Compliance Monitoring
- Ensure appropriate sign off and adherence to Sanctions & PEP checks through the compliance team
- Keep up to date on all regulatory changes
- Enable customer complaints to be resolved efficiently and effectively, in line with regulatory standards
- Manage and report on trends identified and root cause analysis to ensure that prompt action can be taken within the business, followed up and ensure that "loops are closed"
- Deliver against the respective competency frameworks at an "above average" output level ensuring that colleagues across team maintain all: Testing, CPD and role competency requirements
- Support the development and delivery of compliance KPIs, associated analytics and reporting requirements ensuring that the business receives clear and concise operational feedback in a timely manner
- Oversee GDPR complaint handling and DSARs
- Educating the workforce, providing relevant and role specific training for both new and existing training and development. Creating a culture of excellence through knowledge.
The Person
- Experience within an advice background within the protection market would be a distinct advantage.
- Proven leadership abilities - able to recognise, coach and support development areas on an individual need’s basis
- Ability to lead by example - able to create vision, motivate and inspire others to achieve, not afraid of leading by example.
- Able to demonstrable experience of working within an insurance-based compliance, quality and complaints environment at a similar level.
- A good working knowledge of FCA and FOS guidelines is essential, in particular: ICOBs, DISP, CIDRA 2012, and DPA 2018
- Ability to demonstrate attention to detail and accuracy of work
This is an exceptional opportunity to join a growing progressive business where individuals are valued and recognised for their contributions to the company.
Please note.
It is Knight Temple Recruitment’s policy, that we to respond to all applications within three working days. If your application is not taken forward by us your details will not be retained unless you specifically request us to do so.
Knight Temple Recruitment is a Recruitment Agency and is advertising this vacancy on behalf of one of its clients.
