Overview
1st Line Quality & Compliance Officer Jobs in Chesterfield, England, UK at Brown & Brown
1st Line Quality & Compliance Officer
Check out the role overview below If you are confident you have got the right skills and experience,
apply today
.
Location:
Chesterfield / Leicester (With Travel to other sites)
Package: £Negotiable + Benefits
As part of our ongoing journey of growth and building on our approach as A Forever Company™ we’re supporting the team in the East Midlands with the appointment of a 1st Line Quality & Compliance Officer to the team
Reporting to the Quality & Conduct Manager for the region you’ll focus will be on driving the development and
continuous improvement
of our approach to the internal control of regulatory and conduct risk, ensuring good customer outcomes. This is a first line of defence role, reporting directly to
senior management
of the business.
We are committed to conducting our business in a fair, honest, and open manner. We seek to promote appropriate behavior across all aspects of our business operations whilst ensuring fair and consistent outcomes for our customers. Our policies and procedures are designed to avoid engaging in any behavior that could cause problems to consumers, market integrity or be anti-competitive.
Day to Day:
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. Analyse trends and review training needs and areas for improvement.
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.
Person specification
Relevant previous work experience within a Financial Services FCA regulated business providing or distributing products to commercial customers or retail consumers. Ideally general insurance.
Strong inter-personal skills
Effective communicator – written and verbal to a range of audiences e.g. customers, operational staff and
senior management
.
Self starter, uses initiative, able to operate independently
Attention to detail
, excellent investigation and
analytical skills
Customer focused individual
Competent user of Microsoft Applications
Title: 1st Line Quality & Compliance Officer
Company: Brown & Brown
Location: Chesterfield, England, UK
Category: Quality Assurance – QA/QC (Regulatory Compliance Specialist)
