1st Line Quality & Compliance Officer

Built on meritocracy, our unique company culture rewards self-starters and those who are committed to doing what is best for our customers.

1st Line Quality & Compliance Officer
Location: Chesterfield (With Travel to other sites)
Package: £Negotiable + Benefits

As part of our ongoing journey of growth and building on our approach as A Forever Company™ we’re supporting the team in the East Midlands with the appointment of a 1st Line Quality & Compliance Officer to the team

Reporting to the Regional Operations & Compliance Manager your focus will be on driving the development and continuous improvement of our approach to the internal control of regulatory and conduct risk, ensuring good customer outcomes. This is a first line of defence role, reporting directly to senior management of the business.

 We are committed to conducting our business in a fair, honest, and open manner. We seek to promote appropriate behavior across all aspects of our business operations whilst ensuring fair and consistent outcomes for our customers. Our policies and procedures are designed to avoid engaging in any behavior that could cause problems to consumers, market integrity or be anti-competitive.

Day to Day:

• Carry out an allocated number of file audits per month for all offices within the Hub, using the File Checker System, to demonstrate compliance with key regulatory standards.
• Identify key areas of concern highlighted by the file audits and ensure appropriate action and training needs are communicated to individuals and Management.  Assist in delivering training as needed.
• Day to day operational implementation of risk and compliance processes to ensure good customer outcomes and regulatory compliance.
• Assist in investigating customer complaints and respond with a fair outcome-based resolution within regulatory and business requirements. 
• Maintaining the complaints register.
• Analyse trends and review training needs and areas for improvement.
• Identifying, reporting and escalation of regulatory breaches, loss events and systemic issues ensuring suitable remedial and preventive actions are implemented. 
• Analyse trends and review training needs and areas for improvement.
• Process Data Subject Access Requests (DSAR) with required timescales.  Maintain a DSAR log.
• Initial investigation of sanctions matches.  Eliminate non-matches.
• As and when required undertake projects and/or provide specialist input into wider business initiatives.
• Undergo ongoing mandatory training as needed.

Person specification

Relevant previous work experience within a Financial Services FCA regulated business providing or distributing products to commercial customers or retail consumers. Ideally general insurance.

• Strong inter-personal skills
• Effective communicator – written and verbal to a range of audiences e.g. customers, operational staff and senior management.
• Self starter, uses initiative, able to operate independently
• Attention to detail, excellent investigation and analytical skills
• Customer focused individual
• Competent user of Microsoft Applications

We are an Equal Opportunity Employer. We take pride in the diversity of our team and seek diversity in our applicants.