Job Description

Role Purpose:
To support the Compliance Officer in ensuring an appropriate and effective regime of corporate and regulatory compliance is in place and maintained across The Warranty Group’s UK and Ireland operations.

Key Accountabilities: 1. ensure that all areas of the Group’s business are aware of and understand Corporate Policies and relevant regulatory requirements;
2. monitor and audit compliance with Corporate Policies and relevant regulatory requirements;
3. support delivery of the Compliance Plan;
4. advise on regulatory and operational issues arising from time to time;
5. support the Legal and Compliance team and TWG business personnel in providing service to clients;
6. provide regular reports for management and the Board; and
7. maintain an up to date knowledge and understanding of all operations of the Group and the regulatory requirements affecting the Group’s business;

Functional Responsibility: Day to day operation of the Group’s compliance function
Key Internal Relationships: • Regulatory Compliance Officer
• Legal Director/Company Secretary
• Other team members
Key External Relationships: • Other supervisory bodies
• Industry bodies, as appropriate

1 Ensure that all areas of the Group’s businesses are aware of and understand Corporate Policies and relevant regulatory requirements
Key Tasks Measures of Performance
• Ensure that all Corporate Policies and compliance procedures are kept up to date, revised as appropriate and effectively communicated to all relevant staff;
• Draft, review and implement compliance and regulatory policies, as required;
• Delivery of training and support in relation to Corporate Policies, compliance procedures and relevant regulatory and compliance issues;
• Assist in the development of a compliant business culture;
• Provide a technical referral point for compliance and regulatory issues;
• Work co-operatively and regularly with Key Internal Relationships to ensure that all relevant issues are communicated and properly addressed;
? Effective monitoring of the group’s regulatory and compliance obligations;
? Prompt responses to involved parties and efficient handling of matters;
? Provision of advice having regard to the best interests of the Group’s business and regulatory requirements;
? Maintain professional working relationships with Key Internal Relationships;


2 Support delivery of the Compliance Plan including monitoring compliance with Corporate Policies and Regulatory requirements;
Key Tasks Measures of Performance
• Support the Compliance Officer in delivery of the Compliance Plan including monitoring of the business and any follow up required






? Timely completion of all tasks delegated under the Compliance Plan
? Securing approval of any changes to the Plan
? Ability to work to deadlines, as part of a team or under limited supervision ;
? Capable of delivering succinct compliance feedback to all levels of management;
? Ability to provide compliance training where necessary to affect change


3 Support the legal and compliance team and TWG business personnel in providing service to clients;
Key Tasks Measures of Performance
• Support the legal and compliance team in providing compliance advice, compliance training and formal submissions to the Group’s clients, as required;
• Support the legal and compliance team in the sign off and approval process as required for Compliance related work such as financial promotions, etc; ? Prompt responses to involved parties and efficient handling of matters within agreed timescales;

4 Provide regular reports for management as required;
Key Tasks Measures of Performance
• Support the provision of regular compliance, regulatory and risk reports; ? Timely delivery of reports both in written form and verbal feedback where required;
? Ability to produce succinct reports that enable the recipient / business owner to address any regulatory shortfalls;
5 Maintain an up to date knowledge and understanding of all operations of the Group and the regulatory requirements affecting the Group’s business;
Key Tasks Measures of Performance
• Monitor regulatory and trade body websites and newsletters and disseminate to the wider business as appropriate ensuring that policies and procedures reflect any required changes;
• Involvement in any ad hoc projects as required to advise the business on any regulatory impact and future proposed regulation or Codes;
• Promote and support a TCF culture within the business; ? Maintain an appropriate personal development and training programme;
? Maintain an up to date knowledge of regulation and any proposed and pending regulatory changes;
? Demonstrate the importance and relevance of TCF within communications and compliance work undertaken;

Qualifications & experience required
• A level and or Compliance qualifications;
• Broad knowledge of the insurance industry required and consumer warranty industry (de