Compliance Assistant (14 Month contract)
- Provide day-to-day assistance to the Compliance Department.
- Prepare and manage monthly systems and control reports, ensuring timely production.
- Obtain compliance monitoring confirmations and documentary evidence from regulatory firms.
- Maintain and monitor broker management systems both in the UK and overseas.
- Manage the REG UK system and escalate issues to relevant stakeholders.
- Assist with due diligence requests from insurers and intermediaries.
- Attend Compliance Team Meetings and compile minutes for review.
- Handle Data Subject Access requests and a variety of administrative duties.
- In-depth knowledge of FCA Compliance related to insurance requirements for commercial and retail business.
- Strong organisational skills to manage workload effectively.
- Ability to escalate issues appropriately and provide practical, commercial advice.
- Familiarity with IDD and SMCR regulations, processes, and procedures.
- Background in insurance broking, preferably with London Market experience.
- Proficiency in MS Word, Outlook, Excel, and database management.
- Experience with FCA systems and portals (My FCA, RegData, Connect), REG UK, and Broker Assess.
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