Risk & Compliance Administrator

Role Overview

• Support the Risk & Compliance team in an administrative capacity
• Monthly and quarterly reporting and analysis of firms’ compliance performance to identify risks and issues
• Assisting with creating presentation of outcomes for firms and committees
• Managing FCA Connect applications including SMF applications, annual attestations and firm changes
• Assisting with data collation and input for periodic regulatory reporting including RMAR, REP019, REP021, REP025, CCR009 and CMA PNCD
• Ensuring all ICO registration is up to date and accurate
• Monitoring R&C ticketing system for incoming emails and allocation of tasks to the R&C team
• Following the Group procedures for requests for new Introducers, including undertaking due diligence, completing and submitting applications, reviewing and issuing contracts, registering with FCA where IAR status is required
• Reviewing and approving financial promotions and liaising with the Marketing team
• Reviewing Sanction referrals submitted to R&C in accordance with the Group sanction checking procedure
• Collating news articles and other publications for regulatory horizon scanning
• Collaborate with Group Agency to review compliance provisions within insurer contracts, ensuring alignment with regulatory requirements and Jensten standards
• Maintain Risk & Compliance content on the Group intranet, including updating and administering reporting forms (breaches, complaints, gifts & hospitality, and conflicts of interest), monitoring incoming submissions, and uploading approved Risk & Compliance policies
• Other ad-hoc support for the R&C team as required

Requirements

• Good understanding of the UK regulatory environment and practical application
• Experience of carrying out auditing and compiling reports
• Confident communication skills, written and verbal
• Ability to operate within a fast-moving, demanding environment
• Highly motivated and committed to providing a high level of service
• Ability to work remotely and collaboratively as part of a team
• Acturis reporting knowledge (ideally)
• Applied Epic knowledge would be desirable
• OGI knowledge would be desirable
• An understanding of, or experience in insurance is highly desirable
• Good working knowledge of Microsoft Office suite of applications
• IT literate and capable of adapting to new systems

Benefits

• Competitive salary with an annual pay review and bonus scheme
• 27 days annual leave (includes a day off for your birthday and another for a religious holiday of your choice) plus bank holidays
• Auto enrolment into our excellent pension scheme (5% employer matched contribution)
• Flex-benefits
• A range of flexible benefits to choose from, that are most important to you
• Group Life Assurance cover
• 3 months Maternity, Paternity & Adoption leave all fully paid
• Professional qualification study support relevant to your role and career
• Perks at work
• amazing discounts on cinema tickets, meals out, luxury items etc.
• Annual leave purchase scheme
• up to 5 days annually