First-Line Quality & Compliance Lead

Berkeley Insurance Group

Chesterfield

On-site

GBP 35,000 - 52,000

Full time

4 days ago

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Job summary

Berkeley Insurance Group in Chesterfield is seeking a 1st Line Quality & Compliance Officer to drive development and continuous improvement of internal control of regulatory and conduct risk, ensuring good customer outcomes. Reporting to the Regional Operations & Compliance Manager, you will audit across offices and support training and investigations.

You will maintain the complaints register, analyze trends, and handle DSARs and sanctions screening as part of broader risk initiatives with

Qualifications

Experience in a FCA regulated financial services environment.
Strong regulatory and conduct risk awareness.
Excellent investigative and analytical skills.
Effective written and verbal communication across audiences.

Responsibilities

Carry out file audits for multiple offices using the File Checker System to demonstrate regulatory compliance.
Identify areas of concern and communicate training needs to individuals and management.
Support day-to-day risk and compliance processes to ensure good customer outcomes.
Investigate customer complaints and provide fair outcomes within regulatory requirements.
Maintain the complaints register and analyze trends for remedial action.
Process DSAR requests within required timescales and log appropriately.
Assist in sanctions screening and escalation of breaches; participate in broader initiatives.