|Job Type||Permanent Full Time|
|Sector||Customer Service & Call CentreFinancial Services & Banking|
|Salary||£22,000 - £25,000|
- Lloyd Recruitment Services are delighted to be supporting our client, in their search for a Compliance & Complaints Assistant to join their team.
Assisting as part of the complaints and compliance function, the successful individual will be required to provide a professional support service to customers and clients, whilst supporting various members of the Compliance team in supporting the wider business.
- Respond to incoming complaints and requests
- Provide Administrative support in the Compliance Team
- Proactively respond to incoming e-mail and telephone queries from internal and external parties
- Assist in the implementation of compliance policy and with various regulatory and legal requirements, establishing adequate in-house controls and compliance procedures
- Assisting the Compliance Function in the production and implementation of the Compliance Monitoring Plan in order to contribute to the overall compliant operations
- Undertake desk-based and routine monitoring functions and tasks.
- Support the Producer Compliance Monitoring Programme, including liaison with producers and the Compliance team and arranging diaries to obtain efficient use of time.
- Undertake logging of Appointed Representatives with the FCA.
- Undertake and manage the Producer 'self-cert’ process.
- Log receipt of regulatory notices and good practice guidance, Regulatory documents and track to ensure all procedural amendments required are implemented.
- Action emails into shared mailboxes
- Confident and professional communicator
- Excellent grammar and letter writing skills
- Previous complaints / compliance experience
- Understanding / exposure of FCA and Financial Ombudsman rules and processes
- Experience / exposure to handling Data Subject Access Requests (DSAR) and advantage
NB: NB: Unfortunately, due to the high level of applications received by Lloyd Recruitment, we are only able to contact shortlisted candidates.
Keywords: Complaints, Compliance, Call Centre, Collections, Outbound, Inbound, FCA, Financial Ombudsman, DSAR, Data Subject Access Requests,