Conduct Officer

Purpose of the Role:

The role will provide Business Unit support on matters relating to conduct and the adherence to business standards whilst creating a culture of good regulatory standards and client outcomes.

You will work with the Business Assurance team and the Risk & Compliance (2nd line) function to ensure that all regulatory, operational and conduct risks that impact the business are identified, assessed and have appropriate controls that are appropriately monitored, providing advice and guidance on complaints management, product governance/lifecycle management, T&C framework incl. sales, third party governance & management.

You will need to have and maintain a good working knowledge of regulatory risk requirements within the business, through strong communication and training and ensure that there is on-going assurance of and adherence to Group Policies and Business Standards.

Key Role Accountabilities

This is an overview and not an exhaustive list of responsibilities. Collaborating with your Line Manager, you will develop your own objectives but focus on all of the following and more:

• Ensure robust assurance oversight to support our ability to demonstrate quality service delivery to our clients whilst operating effectively and efficiently within the Accountability and Conduct Risk Frameworks.
• Develop and maintain good working relationships across the business and promote a strong and positive risk and conduct culture in-line with group standards and policies.
• To provide advice, guidance and challenge to support the business in the application of risk and regulatory requirements.
• Assist the business by providing support to embed the Risk & Compliance framework, as maintained on Decision Focus Next (DFN).
• To work with the business to ensure risks and controls are identified, validated and documented within DFN.
• Communicate relevant regulatory information to business areas in a clear and concise manner and provide oversight of any resulting actions.
• Contribute to internal and external reporting where required and to provide monthly and additional management information where required within required deadlines.
• Analyse relevant MI to identify gaps in risk or conduct issues and undertake root cause analysis where appropriate to highlight underlying trends and identify and track actions as appropriate.
• Support on the review and approval of financial promotions and other communications to ensure compliance with the standards and requirements of relevant regulation and codes of practise; and to conduct this in line with the internal service level agreements (SLA).
• Manage regulatory requirements for Third Parties Agents/Introducers/PIP’s including annual reviews, due diligence and ongoing monitoring

Qualifications & Experience:

• Prior experience in a ‘Conduct/Compliance Representative’ role demonstrating a working knowledge of the FCA handbook and experience working in a regulatory environment, preferably insurance broking.
• Microsoft Office package to an intermediate level.
• Experience of managing projects, particularly in the area of risk, controls and governance
• Previous experience of chairing meetings and presenting findings would be beneficial alongside relevant industry qualifications, e.g. Cert CII.

Consideration will be given to individuals without all of the above qualifications and experience if they are able to demonstrate they are a self-starter with a desire to learn and develop new skills and knowledge and have a proactive approach to self-development. However previous experience of working in a regulated commercial/personal lines insurance environment is essential.

Person Specification:

We are seeking a subject matter expert who understands end to end business processes and procedures and is able demonstrate a pragmatic approach to implementing change. You will need to be able to build and manage stakeholders at all levels, internally and externally. Strong organisational and communication skills are critical together with excellent attention to detail. You will be a proactive individual who can use their initiative, is resourceful, adaptable and keen to embrace change positively. Working under pressure you will demonstrate analytical and investigative, logical reasoning and problem-solving skills whilst working both individually and collaboratively as a team.

Whilst this is a UK remote based role, there may be very occasional requirements to attend any of our UK offices as per business needs.

In return you will be welcomed and supported by our organisation, joining a team that cares about you as a person and your wellbeing. Some of the other benefits are:

• Holiday entitlement of 26 days plus bank holidays
• Opportunity to progress your career across the entire Ardonagh family
• Award-winning learning & development offering and support to obtain professional qualifications to enhance your knowledge and career prospects
• Pension scheme for when you feel it’s time to retire
• 24-hour Employee Assistance support for you and your family’s physical and mental wellbeing
• Corporate perks such as discounted gym memberships, cinema tickets, shopping, Eyecare vouchers, cycle to work and much more
• One day paid volunteering to give back to our communities
• Ardonagh Community Trust (ACT) - raising funds for charity with donation matching in your local community
• The Spotlight Awards, where we celebrate the best of the Ardonagh Group and all the bright talent across our business.

We offer genuine potential for both personal and professional development, come and be part of our story and help us shape our future. So, what are you waiting for? Apply today and one of our team will be in touch.

#AIB

Everywhen is an equal opportunities employer, with a growing and thriving diversity, equity and inclusion strategy; we are committed to a working environment that is free from discrimination, is inclusive, and empowers our people to bring their whole self to work and reach their full potential.

If your application is successful, we will conduct relevant employment checks prior to you commencing employment with us. These will include verifying your recent employment, address, credit history and a standard criminal record check.

Please note: We may close a vacancy prior to the publish end date if the required quality or number of applications has been received. No Agencies please.

Click here here to see our standard benefits page

Originally posted on Himalayas