Senior Compliance Manager/Complaints Handler
Implementing and conducting a risk-based Compliance Monitoring Programme Working with various business areas to obtain required input and assistance with Compliance monitoring testing. Identifying and reporting instances of non-compliance and liaising with the business to ensure any required remedial actions are undertaken. Communicating with and assisting all areas of the business, where required, on general compliance matters. Preparing compliance related management information. In the form… Show more Implementing and conducting a risk-based Compliance Monitoring Programme Working with various business areas to obtain required input and assistance with Compliance monitoring testing. Identifying and reporting instances of non-compliance and liaising with the business to ensure any required remedial actions are undertaken. Communicating with and assisting all areas of the business, where required, on general compliance matters. Preparing compliance related management information. In the form of weekly and monthly MI’s Assisting in the design, implementation and periodic review of policies and procedures. Responsibility for the compliance team including conducting re-audits on compliance team members, completing probationary reviews, training new starters and completing one to one reviews Working closely with both Aviva and Vitality business development managers to ensure consistency, compliance and transparency of treating customers fairly. Ensuring regulatory knowledge is up date and holding monthly consistency meetings.Responsibility for handling complaints, speaking directly with clients in a professional and unbiased way to ensure a fair and reasonable process. Dealing with complaints promptly and investigating each case thoroughly in a fair and confidential manner. Producing well written response letters and concluding all cases to the satisfaction of all involved. Being able to assess the risk associated on a case by case basis. Keeping accurate and up to date records of all reportable and non reportable complaints within the business, producing monthly reports and identifying trends and recommending where improvements can be made Working directly with the Financial Ombudsman service, and providing full complaint summaries upon request and evidencing the decisions made by the business to be fair and in line with treating customers fairly Show less