Compliance Assistant

Job Overview

This is a Compliance Assistant role working within the insurance industry and will report to the Compliance Manager. You will become an integral member of the Compliance Team and assist with the conducting of a wide range of
compliance activities, including ensuring the approved Annual Compliance Plan is completed on an annual basis, conducting appropriate quality monitoring, and ensuring other Second Line of Defence monitoring is conducted, including a focus audits, reviews and risk assessments.


  • Preferably experience in a compliance role in the Insurance/Financial Services sector, but at least experience in the Insurance or Financial Services sector.
  • Ideally a Compliance Qualification - either the Professional Certificate or Diploma in Compliance through the ACOI/IOB, or an Insurance Qualification (APA in personal general insurance and life assurance or CIP) with a willingness to complete further exams.

Your responsibilities will include:

  • Complete sufficient monitoring on customer calls to ensure products are sold fairly and in compliance with all Regulations.
  • Collate and review results of monitoring to identify and outline relevant trends and possible risks and report to the business on same.
  • Report any concerns or possible breaches of compliance to the Compliance Manager.
  • Provide feedback to Employees alongside their Line Manager.
  • Manage regular calibration reviews to ensure fair and consistent marking on call assessments across the business.
  • Work on the completion of reviews and audits in line with the Annual Compliance Plan in conjunction with other members of the Compliance Team.
  • Monitor the completion of first line of defence risk assessments and report on same.
  • Compile and respond to data access requests within regulatory time frames.
  • Investigate and report data breaches within regulatory time frames.
  • Assist the Compliance Team in the provision of bi-annual compliance training to all employees, as well as new starter training, return to work, and refresher training as required.
  • Assist the business with compliance queries, including monitoring the Compliance and Data Protection inboxes in conjunction with other members of the Compliance Team.
  • Assist the Compliance Team in ensuring all other tasks outlined in the Annual Compliance Plan are completed within the required timelines, including conducting audits, monitoring the completion of risk assessments, .

What you need:

  • Ideally an Insurance Qualification (APA in personal general insurance/life insurance or CIP) or have successfully completed a Compliance Qualification or the Compliance Module of an Insurance Qualification (PDI02 or regulation module).
  • Note that you will be required to sit Compliance exams to obtain the Professional Diploma in Compliance.
  • Exceptional attention to detail with the ability to multi-task and prioritise workload.
  • Proven track record in a fast paced environment and ability to work under pressure and to tight deadlines.
  • Knowledge of applicable regulations, the regulatory environment, and a willingness to continue to learn and keep up to date on the regulatory environment as it evolves.
  • The ability to both work alone on items but also to support the Team and work as part of a team.
  • Excellent MS Office, Word, PowerPoint and Excel skills.

This will be an opportunity to build your career in the area of compliance and data protection. If interested, get in touch to discuss more

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