FCA Audit & Compliance Officer
12 MONTH FTC
£45,000
Hyrid – 3 days office-based Monday to Friday 37.5 hours a week
The Role
We’re looking for a FCA Compliance Officer to support the Head of Risk & Compliance in providing oversight and MI Quality Compliance recording with all FCA requirements for their Insurance Dealership suppliers. This is an excellent opportunity for someone with experience in FCA Quality Compliance or MI Compliance related roles who is ready to take the next step in their career.
Responsibilities FOR FCA Audit & Compliance Officer
Monitoring & keep up to date with upcoming changes to regulations applicable FCA legislation, codes of practice, industry guidelines and best practices.
Work to help reduce risk to the business and make recommendations to enhance the compliance and policies currently in place.
Support the Compliance Distribution Managers to help ensure their dealerships are working within FCA guidelines.
Managing 12 month & QTR Audits processes.
Identify situations that may pose significant compliance and conduct risks and ensure the Dealership Manages and Head of Risk & Compliance are informed.
Audits: Carry out an agreed number of FCA audits, delivering prompt and clear feedback to the managers in a timely manner and maintain accurate records of all completed audits & highlight any training requirements or action needed.
Fraud: Support the Compliance team to ensure staff are fully aware of fraud and money laundering rules through regular feedback and training and ensure that the AML processes in place are followed.
Due Diligence: conduct Due diligence checks for the lenders and introducers.
Assist the DM’s day to day compliance processes, such as breach investigations, suspicious activity investigations and reporting to the relevant authorities, lender declines etc.
Support the Head of Risk & Compliance with collating management information (MI) for the monthly and quarterly reports.
Experience
FCA background ideally with a minimum of 2 years’ experience in a compliance audit MI role.
Excellent communication skills, both written and verbal.
Strong attention to detail, with the ability to work independently and manage multiple priorities.
Superb Benefits Available: FCA Audit & Compliance Officer
25 days base holiday (plus bank holidays) with the option to buy 5 more or carry them over.
Pension contribution 5% employer.
Up to 10 additional holiday days on top of your allowance
Discounts on products and gym membership discounts through Gym Flex
Free flu vouchers in winter, Christmas voucher, and free eye tests every 2 years.
Cycle to work scheme and a £625 bonus for referring a friend.
Excellent pension match benefits and private healthcare with Bupa
Discounts at local retail outlets and opportunities to win tickets to events.
Free parking onsite
Please feel free to contact me directly to discuss the role in more details and the client.
I look forward to reviewing your application.
Lisa
Farr Associates
Recruitment Specialist