First-Line Quality & Compliance Leader

Brown & Brown, Inc.; Chesterfield; On-site; GBP 32,000 - 45,000; Full time

Job summary

Brown & Brown, Inc. is seeking a 1st Line Quality & Compliance Officer in Chesterfield with travel to other sites. The role focuses on improving internal controls of regulatory and conduct risk to ensure good customer outcomes.

Reporting to the Regional Operations & Compliance Manager, you will drive excellence in regulatory compliance and contribute to training, investigations, and DSAR processing as part of a broader compliance program.

Qualifications

• Experience in a FCA regulated financial services environment.
• Experience distributing products to commercial customers or retail consumers.
• Ideally general insurance.

Responsibilities

• 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.
• 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.

Skills

Inter-personal skills

Effective communication

Self-starter

Attention to detail

Customer focus

MS Office

Job description

Brown & Brown, Inc. is seeking a 1st Line Quality & Compliance Officer in Chesterfield with travel to other sites. The role focuses on improving internal controls of regulatory and conduct risk to ensure good customer outcomes.

Reporting to the Regional Operations & Compliance Manager, you will drive excellence in regulatory compliance and contribute to training, investigations, and DSAR processing as part of a broader compliance program.