Complaints jobs in United Kingdom

Main purpose of job:

To support the Head of Compliance and Compliance team supporting day-to-day compliance activities, managing junior members of the team team, attending meetings, producing reports and deputising as required.

Generic tasks

1 ISO 27001

All Staff - to comply with the applicable Information Security Management System (ISMS) policies,

including Clear Desk and Screen Policy, attend annual IT security training, Information Systems

Usage policy.Managers only – ensure that all direct reports comply with all ISMS policies.

2 Timesheet

Ensure timesheets are accurately and diligently completed within the required timeframe. Manager’s only – in addition, ensure timesheets are authorised within the required timeframe.

3 Conduct Standards – Tier 1

All Staff – to comply at all times with the PRA/FCA’s Conduct Standards, namely: 1.) to act with

integrity 2.) to act with due skill, care and diligence and 3) to be open and co-operative with the FCA, the PRA and other regulators. 4) You must pay due regard to the interests of customers and treat them fairly. 5) You must observe proper standards if market conduct.

Key tasks

1 Assist the Compliance function in responding to a variety of queries from syndicates (including queries relating to sanctions, complaints and conduct risk)

2 To provide reliable information, analyses and Guidance to the Compliance Manager and to other staff at Asta and its syndicates.

3 To undertake compliance monitoring of syndicates’ activities, providing appropriate analysis and commentary.

4 To prepare and submit regulatory returns.

5 Lead regular compliance meetings with managed clients, providing data and advice as necessary.

6 To help deliver both online and face-to-face compliance training to Asta staff

And its managed clients.

7 To provide high quality sanctions advice to managed clients within established SLAs.

8 Assist the Compliance Manager in the on-boarding process for new Asta clients and the migration process for exiting clients.

9 To participate in additional projects and activities that may arise

10 To support during the annual capacity and auctions process in line with the Lloyd’s capital timetable.

Key personal skills

1 Accurate and analytical, with good attention to detail.

2 Flexibility with the ability to apply a compliance perspective to complex operational situations.

3 Ability to form good working relationships with internal and external stakeholders and work as part of a team.

4 Excellent communication skills, both written and verbal.

5 Displays initiative and an ability to work without close supervision.

6 Positive attitude and willingness to learn

Key technical skills, knowledge and professional qualifications

1 Broad knowledge of UK insurance regulation and experience working within a Lloyd’s managing agent preferable

2 Experience of applying regulatory knowledge within an insurance business.

3 Experience in Sanctions, Complaints and/or Conduct Risk would be advantageous.

4 Degree level education preferable and ACII qualified, or working towards this.

5 Competent user of Microsoft Office (including Outlook, Word, Excel and PowerPoint).

This job profile gives only outline duties.However, in an organisation such as ours, it is inevitable that tasks may arise which do not fall within the list of key tasks.Individuals are therefore required to be flexible in their approach and attitude when tasks arise which are not specifically covered in their job profile.Should an additional responsibility become a regular part of the job, the individual should agree a new job profile with their manager.