First-Line Quality & Compliance Officer – Travel Ready

897 Brown & Brown (Europe) Limited; Chesterfield; On-site; GBP 35,000 - 55,000; Full time

Benefits offered by this job

Benefits

Job summary

Brown & Brown (Europe) Limited is recruiting a 1st Line Quality & Compliance Officer based in Chesterfield with travel to other sites. You will drive the development and continuous improvement of internal controls for regulatory and conduct risk, acting as part of the first line of defence reporting to the Regional Operations & Compliance Manager.

You will conduct audits, identify and address risk areas, support training, and ensure fair outcomes for customers within regulatory and business

Qualifications

• Experience in FCA-regulated financial services.
• Strong interpersonal and communication skills.
• Self-starter with initiative and independence.
• Attention to detail and analytical abilities.
• Proficient with Microsoft applications.

Responsibilities

• Carry out file audits using the File Checker System to demonstrate regulatory compliance.
• Identify areas of concern from audits and communicate actions and training needs.
• Assist in delivering training as needed.
• Implement risk and compliance processes to ensure good customer outcomes.
• Investigate customer complaints and respond with fair resolution within regulatory requirements.
• Maintain the complaints register.
• Analyse trends and review training needs; escalate breaches and systemic issues.
• Process DSARs within required timescales and maintain a DSAR log.
• Initial investigation of sanctions matches and eliminate non-matches.
• Undertake projects and provide specialist input into wider initiatives.

Skills

Attention to detail

Investigation

Analytical skills

Interpersonal skills

Communication skills

MS Office

Tools

Microsoft Office Suite

Job description

Brown & Brown (Europe) Limited is recruiting a 1st Line Quality & Compliance Officer based in Chesterfield with travel to other sites. You will drive the development and continuous improvement of internal controls for regulatory and conduct risk, acting as part of the first line of defence reporting to the Regional Operations & Compliance Manager.

You will conduct audits, identify and address risk areas, support training, and ensure fair outcomes for customers within regulatory and business