Divisional Oversight Officer
We are looking to for someone to become an essential part of our team as a Divisional Oversight Officer.
Key Responsibilities:
Oversight of the third party onboarding process - to include working with relationship owners to identify appropriate relationships, assisting with preparation of a business cases and establishing documentation needs in conjunction with compliance.
1. Working with colleagues in compliance ensuring that regulatory and product training is provided to all AR employees involved in insurance distribution activities and that minimum annual CPD requirements are met.
2. Ongoing monitoring and management - to include adherence to Group policies, ownership of the programme of third party reviews assisting relationship owners where required, carrying out third party file checks, monitoring financial promotions, and offering ad-hoc guidance to the relationship owners.
3. Oversight of complaints and other conduct MI received through, or about, an AR and conducting root cause analysis.
4. Working with compliance and TPMSDD teams ensuring any terminations are conducted in an orderly manner.
5. Collating and ratifying information for FCA returns, assisting with the Specialty Boards annual self-assessment of AR/IAR oversight arrangements and feeding into GRC reviews of policies and procedures.
6. Being visible withi...