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An opportunity to deliver in an expanding Insurance broker as Conduct Officer.
Location: Gloucester/Bristol and West with Travel
The Divisional Conduct Officer will ensure all businesses within S&A will adhere to Group Risk and Regulatory Policies and Procedures through the design and oversight of operational controls and processes. This role sits within the 1st Line of Defence.
Work closely with Group 2LoD to manage local business activity.
Ensure the establishment and maintenance of effective systems and controls in relation to legal / regulatory requirements and risk, specifically around Treating Customers Fairly (TCF), Training and Competency and Product Files as per Group Policies and Procedures;
Ensure adherence to defined business processes via Quality Audit Reviews and deep dives, ensuring follow up action is taken to close the gaps;
Understand the impact changes in regulation will have on the business as per 2LoD guidance and advise and coordinate the business regulated entities on changes that need to be implemented;
Approval of marketing material/financial promotions within remit to ensure compliance with the FCA and other applicable regulatory authorities, referring financial promotions within the 2LoD to the Group Conduct Officer in line with Group Policy;
Working with the business to support in the delivery of new products;
Ensure appropriate maintenance of the FCA Register in relation to all Business Units where not undertaken at Group level.
Ensure the appropriate controls are adhered to and manage the onboarding and oversight of Appointed or Introducer Appointed Representatives and other partners in line with Group and Divisional expectations.
Working with the Operational Trainer to ensure Training & Competence schemes enable adherence to regulation
Manage the complaints teams providing complaint handling guidance and advice including quality assessment of complaint files, root cause analysis (RCA) and appropriate follow up.
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