Compliance Assistant Job market – Compliance / Regulatory Compliance Assistant – About the role To support the Head of Compliance & Audit in the scheduling and completion of scheduled compliance requirements associated with an Insurance Broker / Appointed Representative Network. Compliance Assistant – Key duties Responsible for scheduling and completing compliance requirements for the company’s Insurance Broker network. Recording of material regulatory breaches, or other risks identified by the audit team to the Head of Compliance and Audit Providing feedback to Senior Management on the Technical competence of allocated ARs Acting as a point of contact within the compliance team for Appointed Representatives Assisting with the management of, and providing responses from the Compliance Inbox Supporting the Head of Compliance & Audit in the production of Management Information and Monthly Reports Complaint management Maintain awareness of regulatory standards and relevant FCA handbooks (ICOBS, SYSC, DISP, SUP, CASS 5 etc) Supporting in the identification, assessment, and documentation of operational/regulatory risks and relevant controls Management of monthly MI reports to highlight trends & escalate where appropriate Updating policies & procedures on the company intranet site Compliance Assistant - Key requirements Qualifications in Financial Services e.g. Cert CII or equivalents or willingness to obtain relevant qualifications Previous experience in Compliance/Risk/Governance/File Auditing Roles Previous experience working in an office or customer-service based role. Ideally there will be previous experience in General Insurance and/or Pure Protection sectors Along with our client, we are committed to a diverse workforce and as such recruit from a wide available pool of talent, with the hiring, assessment and selection process being fair, free from bias and one which ensures the right person is selected for the job, based on merit. We treat colleagues, candidates, clients, and business partners with equality, fairness and respect, regardless of their age, disability, race, religion or belief, gender, sexual orientation, marital status or family circumstances. A copy of our D&I policy can be made available upon request