Compliance Auditor

In this role your responsibilities will be to:

• Carry out compliance audit work and internal monitoring of the firms advisors and appointed representatives including 121's, training and development.
• Conducting regular reviews, within an assigned area of business, of practices to ensure compliance with Group policies and external legislative and regulatory requirements.
• Conduct research and provide initial recommendations on complex regulatory risk practices, standards, and policies.
• Compile information and carry out research necessary to ensure compliance with standard regulatory reporting.
• Provide input to and some delivery of education and training for business employees on fundamental regulatory risk concepts.
• Provides support to Managers and Senior Managers, as applicable

To succeed in this role you will have regulatory compliance experience gained within the financial services sector and ideally you will have experience of General Insurance.

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