Our Client, a Insurance Management firm is looking to hire a Compliance manager and is ideally looking for a compliance individual from a mid-size Insurance Broker as the role will involve a significant amount of interaction.
To ensure the best interests of our customers are met and regulatory requirements satisfied by
- promoting a culture of continual improvement in the quality of the customer experience and those of its Appointed Representatives
- implementing and embedding appropriate Policies and Procedures to guide and inform the way we work and promote the right behaviours.
- working in partnership with the Business in monitoring and responding to relevant KPIs, new developments - internal or external.
- providing pro-active support and constructive advice on compliance and related matters and be seen as a ‘Trusted Advisor’
Successful Outcomes within the next 12/24 months
- Senior management is well informed about the quality of our service through the pro-active and timely provision of relevant reports and management information
- Issues are promptly identified and resolved through monitoring of the Business and its Appointed Representatives in line with the Compliance Plans
- Improved customer satisfaction can be evidenced and complaints are promptly and effectively investigated and resolved without recourse
- Rule Breaches are limited to minor infringements and do not recur.
- Compliance input ensures that Operational Policies and Procedures continually reflect the latest regulatory and legislative requirements
- Product and scheme design, promotional activities and materials, documentation and call scripts are developed with emphasis on the needs and understanding of our customers.
- The file review process is regularly reviewed and maintained to provide a risk-based assessment of adherence to best practice.
- Efficiency - able to produce significant output with minimal wasted effort.
- Honesty/integrity - does not cut corners ethically. Earns trust and maintains confidences. Does what is right, not just what is politically expedient. Speaks plainly and truthfully.
- Organization and planning - Plans, organizes, schedules, and budgets in an efficient, productive manner. Focuses on key priorities.
- Assertiveness - moves quickly and takes a forceful stand without being overly abrasive.
- Follow-through on commitments - lives up to verbal and written agreements, regardless of personal cost.
- Intelligence - learns quickly. Demonstrates ability to quickly and proficiently understand and absorb new in-formation.
- Analytical skills - able to structure and process qualitative or quantitative data and draw insightful conclusions from it. Exhibits a probing mind and achieves penetrating insights.
- Attention to detail - does not let important details slip through the cracks or derail a project.
- Persistence - demonstrates tenacity and willingness to go the distance to get something done.
- Proactivity - acts without being told what to do. Brings new ideas to the company
- Flexibility/adaptability - adjusts quickly to changing priorities and conditions. Copes effectively with complexity and change.
- Calm under pressure - maintains stable performance when under heavy pressure or stress.
- Strategic thinking & vision - able to see and communicate the big picture in an inspiring way. Determines opportunities and threats through comprehensive analysis of current and future trends.
- Creativity/innovation - generates new and innovative approaches to problems.
- Enthusiasm - exhibits passion and excitement over work. Has a can-do attitude.
- Work ethic - possesses a strong willingness to work hard and sometimes long hours to get the job done. Has a track record of working hard.
- High standards - expects personal performance and team performance to be nothing short of the best.
- Listening skills - lets others speak and seeks to understand their viewpoints.
- Openness to criticism and ideas - often solicits feedback and reacts calmly to criticism or negative feedback.
- Communication - speaks and writes clearly and articulately without being overly verbose or talkative. Maintains this standard in all forms of written communication, including e-mail.
- Teamwork - reaches out to peers and cooperates with supervisors to establish an overall collaborative working relationship.
- Persuasion - able to convince others to pursue a course of action.