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FCA Audit & Compliance Officer
Job summary
A reputable recruitment agency is seeking an FCA Audit & Compliance Officer to oversee compliance risks and MI Quality Compliance recording for Insurance Dealerships. This role is perfect for candidates with at least 2 years in compliance audits. Responsibilities include monitoring FCA regulations, conducting audits, and supporting the compliance team. Enjoy excellent benefits such as up to 25 days holiday, generous pension contributions, and private healthcare. This is a fantastic opportunity for career advancement in a supportive environment.
Benefits
Qualifications
- FCA background ideally with a minimum of 2 years experience in a compliance audit MI role.
- Strong attention to detail, with the ability to work independently and manage multiple priorities.
Responsibilities
- Monitor changes to FCA regulations, codes of practice, and guidelines.
- Support compliance managers with FCA guidelines.
- Conduct FCA audits and deliver clear feedback.
- Support day-to-day compliance processes, like breach investigations.
- Collate management information for reports.
Skills
FCA Audit & Compliance Officer
12 MONTH FTC
£45,000
Hyrid 3 days office-based Monday to Friday 37.5 hours a week
We re looking for a FCA Compliance Officer to support the Head of Risk & Compliance in providing oversight and MI Quality Compliance recording with all FCA requirements for their Insurance Dealership suppliers. This is an excellent opportunity for someone with experience in FCA Quality Compliance or MI Compliance related roles who is ready to take the next step in their career.
- Monitoring & keep up to date with upcoming changes to regulations applicable FCA legislation, codes of practice, industry guidelines and best practices.
- Work to help reduce risk to the business and make recommendations to enhance the compliance and policies currently in place.
- Support the Compliance Distribution Managers to help ensure their dealerships are working within FCA guidelines.
- Managing 12 month & QTR Audits processes.
- Identify situations that may pose significant compliance and conduct risks and ensure the Dealership Manages and Head of Risk & Compliance are informed.
- Audits: Carry out an agreed number of FCA audits, delivering prompt and clear feedback to the managers in a timely manner and maintain accurate records of all completed audits & highlight any training requirements or action needed.
- Fraud: Support the Compliance team to ensure staff are fully aware of fraud and money laundering rules through regular feedback and training and ensure that the AML processes in place are followed.
- Due Diligence: conduct Due diligence checks for the lenders and introducers.
- Assist the DM s day to day compliance processes, such as breach investigations, suspicious activity investigations and reporting to the relevant authorities, lender declines etc.
- Support the Head of Risk & Compliance with collating management information (MI) for the monthly and quarterly reports.
- FCA background ideally with a minimum of 2 years experience in a compliance audit MI role.
- Excellent communication skills, both written and verbal.
- Strong attention to detail, with the ability to work independently and manage multiple priorities.
- 25 days base holiday (plus bank holidays) with the option to buy 5 more or carry them over.
- Pension contribution 5% employer.
- Up to 10 additional holiday days on top of your allowance.
- Discounts on products and gym membership discounts through Gym Flex.
- Free flu vouchers in winter, Christmas voucher, and free eye tests every 2 years.
- Cycle to work scheme and a £625 bonus for referring a friend.
- Excellent pension match benefits and private healthcare with Bupa.
- Discounts at local retail outlets and opportunities to win tickets to events.
- Free parking onsite.
Please feel free to contact me directly to discuss the role in more details and the client.
I look forward to reviewing your application.
Lisa
Farr Associates
Recruitment Specialist
* The salary benchmark is based on the target salaries of market leaders in their relevant sectors. It is intended to serve as a guide to help Premium Members assess open positions and to help in salary negotiations. The salary benchmark is not provided directly by the company, which could be significantly higher or lower.