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Ref:VR/34480/J

Job Title – Compliance Manager
Contract – Permanent
Salary – GBP40,000
Location – Hertfordshire
Industry – Insurance Broker (Insurance, Commercial)
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My client, an independent Hertfordshire based brokerage is looking to expand their Compliance function.

Duties:
To assist the operations director with ongoing compliance implementation and regulatory reporting requirements; and to ensure the Firm maintains compliant practices to accord with any future policies issued by the FCA, relating to its regulated general non-investment insurance activities.
To assess training requirements and maintain training and professional development records for all employees.
To structure and organise relevant in-house and external training, as deemed appropriate to the nature of the business.
Maintain records of management and staff meetings.
Handle complaints in accordance with the FCA guidelines.
To handle the Firms HR responsibilities including but not limited to Contracts, H&S Policy and Handbooks

High level of inter-personal skills, to include:

The ability to build successful, mutually beneficial business relationships.
People management.
Influencing and negotiation skills.
Strong communication skills in a variety of mediums including written, presentation and oral.
Planning, organisational and measuring skills.
Problem solving skills.
Computer literate and have a good understanding of the Companys computer system.
Self development – ability to recognise personal development needs and take responsibility for continuous learning.

Key Result Areas:

Regularly review, in conjunction with the operations director, FCA publications and identify if any changes are necessary to the Firms processes to ensure compliance.
Provide staff with assistance and clarification where any potential compliance conflicts arise.
Monitor changes in employment legislation, review any impact or risk and report to management.
Arrange regular meetings with staff to plan their ongoing training requirements.
Regularly monitor [Broker Assess] on-line training facility for usage and after course assessments and update individual personal development files.
Organise external training courses, where required and available.
Conduct client file audits through Acturis system and report to management plus verify the Firms client money calculations and half-yearly FCA returns.
Monitor monthly renewals, mid-term adjustments & new business written to ensure contract certainty.
Review on a monthly basis insurer partners credit ratings.
Maintain a register of complaints and progress monitor to resolution.
Attend relevant training seminars and/or workshops, when necessary, to keep abreast of industry changes and developments.

If you have the relevant experience or know someone that does please contact us now on 01992 445 710 or email us at admin@lawesgroup.co.uk
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