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DATE ADDED: Mon 04/03/2019

Data Protection & Compliance Coordinator

Borehamwood, UK

JOB TYPE: Permanent

SALARY: £25000 - £30000/annum

Role Profile:

An understanding of insurance compliance and regulatory matters is key to this role and so the ideal candidate will have a strong compliance perspective from an insurance background and have a working knowledge of data protection regulations along with anti-money laundering legislation. Part of the Group is regulated by the Solicitors Regulation Authority (SRA) and so this role will encompass reporting requirements as laid down by the SRA.

* Assist in the oversight of compliance processes and ensure appropriate advice in relation to regulatory matters is provided to the Group in an effective and efficient manner

* Monitor new regulatory requirements; ensure that compliance policies are kept up to date and that revisions are disseminated in a timely manner

* Assist and where appropriate undertake compliance monitoring reviews and completion of reports that demonstrate regulatory compliance and/or identifying correction actions that may be required

* Be a point of contact for managers and employees regarding compliance related queries

* Be the focal point for any external audits (i.e. Insurer Delegated Authority Audits) and take the lead in ensuring that any recommendations are followed up on and implemented where agreed

* In conjunction with IT Infrastructure assist with the annual ISO 27001 audit along with the internal annual audit schedule that forms one of the requirements of the ISO Accreditation

* Co-ordinate any data breaches or security incidents via the agreed laid down ISO 27001 procedures

* Provide regulatory assistance with projects as they arise including the implementation and monitoring of the internal systems and controls after completion of the projects to ensure controls are maintained

* Conduct quarterly Conduct Risk Assessment Audits and report your findings to the CRRO

* Conduct the annual TCF gap analysis alongside regular TCF oversight reporting for the CRRO

* Where required design and deliver compliance training and educational awareness training across the Group

* Record and monitor any complaints that are reported via the Financial Ombudsman Service (FOS)

* Carry out Introducer screening in accordance with Compliance procedures

* Act as the focal point for any internal data protection queries ensuring that a record of any data subject access requests is maintained

* Co-ordinate any internal data breaches - this will involve dealing with Insurers, affected individuals and the ICO where required

* Assist with any data sharing agreements always ensuring that any data is transmitted securely

* Co-ordinate the Risk Audit Committee Meetings ensuring that all actions are followed up

* Assist with any regulatory reporting such as Gabriel, Consumer Credit Returns and any SRA requirements

* Ensure that all Company security procedures, as detailed in the Personal Information Security Policy, are followed and any areas of concern are notified to your Department Manager

Person Profile:

* Minimum of two years’ compliance experience within an Insurance brokerage or related financial services environment

* Working knowledge of the financial services/general insurance market

* Good working awareness of UK regulations, including the FCA Handbook, AML, GDPR and TCF requirements together with their implications upon business activities

* Excellent and accurate administration communication skills with the ability to be able to deal with senior managers

* Ability to handle multiple on-going projects ensuing that all Stakeholders are kept informed of progress

* An understanding of SRA requirements would be beneficial
Role: Data Protection & Compliance Coordinator
Job Type: Permanent
Location: Borehamwood, Hertfordshire,

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