We are recruiting for a Compliance Assistant for our client in Co Westmeath. This is a full time, permanent position.
Reporting to the Head of Compliance you will be responsible for a range of compliance activities. In particular emphasis on achieving the Annual Compliance Plan, continuous improvement of compliance systems and processes and support for the business to ensure awareness of applicable compliance requirements
Key Areas of Responsibility:
* Assist the Head of Compliance to ensure the successful achievement of the Annual Compliance Plan, including the completion of risk assessments, auditing and monitoring.
* Advise the Company on applicable compliance regulations, legislation and codes of conduct.
* Offer advice and support to colleagues on compliance regulations, legislation and codes of conduct as requested.
* Assessment of emerging regulations and new requirements.
* Ensure marketing material, non system generated correspondence and change requests comply with all regulatory requirements.
* Prepare and present training for employees on the applicable compliance requirements.
* Compile and respond to data access requests within regulatory time frames.
* Investigate and report any breaches within regulatory time frames.
* Call Monitoring
* Assist with resolving and responding to complaints within the regulatory time frames and in the best interests of our customers at all times.
* Responding to compliance queries within the required time lines.
* Maintain and Update compliance Policies and Procedures
* Preparation of Management Reports/Updates.
Skills and Experience:
* Professional Diploma in Compliance (LCOI) or working towards this.
* At least 2 years experience in a similar role.
* Proven track record in fast paced environment.
* Knowledge of regulations & the regulatory environment. In partilcuar, knowledge of both current and upcoming regulations/codes of conduct that apply to insurance intermediary business.
* Excellent MS Office, Word, Powerpoint and Excel skills.
* Experience in facilitation of meetings and/or presenting training.
* Highly organised approach to work and ability to multi-task and prioritise in a fast paced environment.
* Excellent written & spoken English with exceptional listening, analytical and communication skills.
* Able to meet tight deadlines & work well under pressure.
* Ability to ensure that compliance standards are maintained at all times.
* Proactive approach and quality focus with execution & "can do" attitude.
* Ability to react to situations quickly, efficiently and professionally.
* Flexibility and willingness to work additional hours during busy periods.
* Qualified Financial Advisor (QFA)
* Certified Insuracnce Practicioner (CIP)
Send CV through attached link
Phone calls to Louise 086 4670069