Compliance & IT Assistant

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  • Position: Compliance & IT Assistant
  • Location: Surrey



•   To comply with regulatory requirements, industry codes of practice and the Company’s own procedures and rules
•   To be aware of and manage any potential conflict of interest
•   To ensure compliance monitoring plan is reviewed and updated on regular basis
•   To assist with production of compliance report for quarterly board meeting 
•   To assist with all file reviews and ensure these are carried out and reviewed and monitored accordingly 
•   To ensure Complaints register is kept up-to-date and reviewed regularly
•   To regularly review breach registers
•   To assist with completion of FCA Gabriel returns
•   To assist with updating of all compliance policies 
•   To assist with the updating and delivery of Policies & Procedures training / testing
•   To check and authorise (where applicable) requests for wholesale agencies
•   To assist with the checking of Insurer TOBA’s
•   To assist with the setting up of New Insurer agencies
•   To assist with completion of coverholder audits 
•   To assist with day to day compliance queries
•   Update and regularly review TOBA register & noting S&P ratings
•   To ensure advertising register is up to date & monitored
•   Reviewing new Insurer TOBA’s against old
•   Preparing & updating of staff CPD reports
•   Checking hospitality and entertainment registers
•   Checking outstanding work figures
•   Assisting with Wealth Management Compliance admin


•   Support and deliver the IT vision of becoming a mobile and flexible workforce
•   Assist in and organise IT projects and roll outs as needed 
•   Develop strong working relationship with Lanix/France/Acturis and become a point of escalation for staff to get matters resolved
•   Assist track performance of service providers
•   Track helpdesk dashboard for trends 
•   Monitor mobile phone and data usage alongside contract
•   Organise and implement appropriate IT training and penetration testing
•   Monitor the need/requests for new kit and distribute as needed
•   Maintain IT profile on matters such as phishing
•   Awareness of the IT budget in order to assist in working within it at all times, look to get the best from the IT kit that we have and identify savings where appropriate

Attributes for Role: 

-   Self-starter 
-   Self-confident
-   Organised 
-   Prioritisation skills in order to meet deadlines 
-   Strong communicator 
-   Strong ability on Excel and Word 
-   Ability to identify trends and issues at an early stage 
-   Desire towards continuous improvement  

Experience Needed:

-   Prior relevant office experience needed or appropriate level of qualifications 


-   Ideally Surrey  


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