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Direct Commercial are an award-winning commercial motor insurer entering an exciting period of growth. We are looking for a Compliance Admin Assistant based in or around Chelmsford to join our existing Compliance team. We are fully office based at our Chelmsford office.
Business management responsibilities:
* Adhere to Company Policies and Procedures at all times
* Undertake all activities in a professional and ethical manner
* Attend and actively participate in internal meetings (as required)
Individual Conduct Rules:
1. To act with integrity.
2. To act with due care, skill and diligence.
Role Overview & Responsibilities:
* Active involvement in DCL’s ongoing compliance function including monitoring upcoming regulatory changes and the annual review of DCL’s policies and procedures;
* Develop (over time) an understanding of FCA regulation and its application to UK insurance firms;
* Assist with the administration of DCL’s Complaints Handling process;
* Develop an understanding of the FCA’s Complaint Handling rules (DISP rules);
* Develop an understanding of the Senior Managers and Certification Regime (SMCR);
* Assist with oversight of any changes to Company stationery/e-mail footers in line with Company legislation and FCA regulations.
* Assist with oversight of COI policy and ensure logging of all COI and gifts in accordance with Company procedure and Bribery Act 2010.
* Assist with the ongoing maintenance of the Senior Managers and Certification Regime (SMCR);
* Assist with allocating mandatory compliance training to relevant staff including maintenance of Broker Assess;
* Assist with the preparation of monthly reporting (to management and Insurer partners) as required;
* Undertake ad-hoc Compliance tasks as required.
Skills
* Excellent team player with the ability to work closely with others to deliver results, identify and resolve issues;
* Excellent organisational skills (ability to prioritise and manage various tasks simultaneously);
* The ability and willingness to learn new skills and upskill quickly to new requirements;
* Excellent written and verbal communication skills;
* Prior experience of the insurance sector or the Financial Services sector desirable but not essential.
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