Compliance Officer - Preston

Andrea Groom-Shorter
Date Posted
19 Nov 2020
Work Type
Full Time
Financial Services

This is an excellent opportunity for any individual that is looking for a career in financial services with ongoing support for learning and development through professional qualifications. The successful applicant will be working closely with the Compliance Manager on specific activities and projects to support the smooth running of this professional practice and will be responsible for supporting insurance intermediaries on a wide range of compliance matters.

  • Report directly to the Compliance Manager
  • Carry out, evidence and report on compliance monitoring activities of client firms to ensure their compliance with regulatory standards
  • Assist with new adviser applications and referencing requirements
  • Prepare reports as required
  • Develop sound knowledge of health and Life insurance products
  • Build and maintain valuable working relationships with clients
  • Answer incoming calls into the firm
  • Keep up to date with changes in regulatory, legislative and market practices that impact businesses

  • Ideally degree educated or with two years’ work experience in the Insurance industry.
  • Good knowledge of how to operate word, excel and outlook is essential
  • Excellent communication and interpersonal skills
  • Good organisational skills
  • Professional telephone manner
  • A reliable and trusted person with a positive attitude and good communication skills
  • Strong understanding of all regulations that impact a financial service firm
  • Strong analytical skills
  • Strong report writing skills
  • Ability to work on own initiative
  • Ability to undertake a variety of tasks and maintain accuracy and quality
  • Good time management

   This Vacancy Has Been Filled
This role has recently been filled.
Ref: 2210
Role: Compliance Officer
Location: Preston