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Compliance Officer Financial Services
Malton, North Yorkshire
£29,000 – £31,500 per annum plus bonus
Commutable from York, Malton, Driffield, Pickering, North Yorkshire
Permanent office-based role working full time Monday to Friday.
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Compliance Officer
Malton | Permanent | £29,000 - £31,500/year | www.cv-library.co.uk |
Compliance Officer Financial Services
Malton, North Yorkshire
£29,000 – £31,500 per annum plus bonus
Commutable from York, Malton, Driffield, Pickering, North Yorkshire
Permanent office-based role working full time Monday to Friday.
Hawk 3 Talent Solutions are working with a well-established company based in Malton, North Yorkshire who are looking for an experienced Compliance Officer to join their team.
The Role
You will be an experienced compliance officer who will be working within the Operations Department. As an integral part of the Compliance Team, you will play a pivotal role in the successful delivery of the compliance monitoring plan and advancements to our risk management framework.
Duties
Conduct file checks, departmental assurance, risk, client outcome and third-party due diligence monitoring and oversight activities
Collaborating with the Compliance and wider teams to develop the 1st and 2nd line of defence approach to risk management
Supporting the Compliance Team in the preparation and collation of regulatory reporting
Providing guidance on the creation of, and review and approval of financial promotions and customer facing documents to ensure that they adhere to the relevant regulations and procedures
Undertaking and advising on Consumer Duty including but not limited to product governance, fair value assessments and completion of insurer information requests
Developing compliance working papers, testing and management information including outcomes reporting
Providing oversight and maintenance of agency, introducer, appointed representative and third party contract management variations, assessments, and maintenance
Completion of general compliance team administrative tasks, record keeping and maintenance
Skills/Knowledge
Minimum of 2 years’ compliance /quality assurance and or risk management experience, within an FCA regulated business
Good understanding of general retail insurance products
Good working knowledge e of the UK regulatory framework and experience with FCA or PRA handbooks, such as IDD and FCA ICOBS, SYSC, SUP, PROD, DISP. PRIN, COND and GDPR.
Commercial awareness of changing regulatory requirements and trends
Understand application and enhancement of 3LOD risk management model
Strong experience in practical application of Consumer Duty and Product Governance
Focus on the delivery of good customer outcomes
Capable of compiling, analysing, and interpreting management information and data to Facilitate problem solving, decision making and effective change
Ability to develop strong, effective relationships at all levels of business, adapting content and tone to suit audience
If you would like to apply for the role of Compliance Officer then please email your CV to or call Deb on (phone number removed)
Closing date is 30.5.2024 Please note this could change subject to suitable applications.
Hawk 3 Talent Solutions are acting as an employment agency on behalf of its client.
By applying for the above position and providing your personal data to us you understand that your data will be processed in line with our Privacy Policy. To view our full Privacy Policy please visit our website.
Hawk 3 Talent Solutions are committed to the selection, recruitment and development of the best people, basing judgements solely on suitability for the job. Whilst we endeavour to respond to all applications individually, due to high volumes, this is not always possible.
Thank you for your interest in this role and we look forward to working with you in the future
Malton, North Yorkshire
£29,000 – £31,500 per annum plus bonus
Commutable from York, Malton, Driffield, Pickering, North Yorkshire
Permanent office-based role working full time Monday to Friday.
Hawk 3 Talent Solutions are working with a well-established company based in Malton, North Yorkshire who are looking for an experienced Compliance Officer to join their team.
The Role
You will be an experienced compliance officer who will be working within the Operations Department. As an integral part of the Compliance Team, you will play a pivotal role in the successful delivery of the compliance monitoring plan and advancements to our risk management framework.
Duties
Conduct file checks, departmental assurance, risk, client outcome and third-party due diligence monitoring and oversight activities
Collaborating with the Compliance and wider teams to develop the 1st and 2nd line of defence approach to risk management
Supporting the Compliance Team in the preparation and collation of regulatory reporting
Providing guidance on the creation of, and review and approval of financial promotions and customer facing documents to ensure that they adhere to the relevant regulations and procedures
Undertaking and advising on Consumer Duty including but not limited to product governance, fair value assessments and completion of insurer information requests
Developing compliance working papers, testing and management information including outcomes reporting
Providing oversight and maintenance of agency, introducer, appointed representative and third party contract management variations, assessments, and maintenance
Completion of general compliance team administrative tasks, record keeping and maintenance
Skills/Knowledge
Minimum of 2 years’ compliance /quality assurance and or risk management experience, within an FCA regulated business
Good understanding of general retail insurance products
Good working knowledge e of the UK regulatory framework and experience with FCA or PRA handbooks, such as IDD and FCA ICOBS, SYSC, SUP, PROD, DISP. PRIN, COND and GDPR.
Commercial awareness of changing regulatory requirements and trends
Understand application and enhancement of 3LOD risk management model
Strong experience in practical application of Consumer Duty and Product Governance
Focus on the delivery of good customer outcomes
Capable of compiling, analysing, and interpreting management information and data to Facilitate problem solving, decision making and effective change
Ability to develop strong, effective relationships at all levels of business, adapting content and tone to suit audience
If you would like to apply for the role of Compliance Officer then please email your CV to or call Deb on (phone number removed)
Closing date is 30.5.2024 Please note this could change subject to suitable applications.
Hawk 3 Talent Solutions are acting as an employment agency on behalf of its client.
By applying for the above position and providing your personal data to us you understand that your data will be processed in line with our Privacy Policy. To view our full Privacy Policy please visit our website.
Hawk 3 Talent Solutions are committed to the selection, recruitment and development of the best people, basing judgements solely on suitability for the job. Whilst we endeavour to respond to all applications individually, due to high volumes, this is not always possible.
Thank you for your interest in this role and we look forward to working with you in the future
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