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Business Conduct Officer

Salary TBA
Location Darwen or Southampton
Mergefield Title {Mergefield Value}
Mergefield Title {Mergefield Value}

This is a Permanent, Full Time vacancy that will close in {x} days at {xx:xx} BST.

Purpose of the Role:

  • To support the Business Conduct & Standards Manager in working with the H&P leadership and the Risk & Compliance (2nd line) function to ensure that all regulatory, operational and conduct risks that impact the business are identified, assessed and have appropriate controls that are appropriately monitored
  • To support the on-going assurance of and adherence with relevant Group Policies and Business Standards

Key Role Accountabilities:

  • Develop and maintain good working relationships with the business and promote a strong and positive conduct culture in-line with group standards and policies
  • To provide advice, guidance and challenge to support the business in, the application of regulatory conduct related requirements
  • To support the Business Conduct & Standards Manager to ensure risks and controls are identified, validated and documented within Decision Focus Next (DFN)
  • Communicate relevant conduct information (e.g. QA output, E&O trends, breaches etc.) to business areas in a clear and concise manner and provide oversight of any resulting actions
  • Act as point of contact for the business in respect of the T&C framework, including undertaking ongoing sales QA activity
  • Handle complaints referred to the Business Conduct & Standards department in line with established procedures and regulatory requirements, ensuring such complaints are handled to required timelines
  • In conjunction with the Business Conduct & Standards Manager maintain a robust T&C framework, taking account of inherent risks and relevant metrics
  • As directed, provide support to the Business Quality Manager in fulfilling oversight of the AR and employed sales advisor communities
  • Contribute to internal and external reporting where required and to provide monthly and additional management information where required within required deadlines
  • Analyse relevant MI to identify gaps in risk or conduct issues and undertake root cause analysis where appropriate to highlight underlying trends and identify and track actions as appropriate
  • Support on the review and approval of financial promotions and other communications to ensure compliance with the standards and requirements of relevant regulation and codes of practise; and to conduct this in line with the internal service level agreements (SLA) to include Websites E-Shots All marketing Collateral

Qualifications & Experience:

  • Specialised Knowledge – current and actively maintained knowledge of the regulatory environment.  Good knowledge of healthcare broking operations and processes
  • Skills – Microsoft Office package to an intermediate level
  • Professional Certification – relevant industry qualifications, e.g. Cert CII (incl. IF7).
  • Experience: Knowledge of working in an insurance environment, preferably healthcare insurance broking 
  • Maintain an understanding on the range of products and services offered by the Company to be able to answer any queries from customers, ARs or advisors

Person Specification:

  • High level of knowledge of working in a regulated environment, particularly related to healthcare insurance and related products
  • Building relationships – provide support, guidance and challenge to sales advisers and sales managers in the business
  • Good organisational skills and attention to detail
  • Good written and oral communication skills
  • Initiative, proactivity, enquiring approach, resourcefulness
  • Adaptability, ability to embrace and respond positively to change
  • Analytical and investigative skills, logical reasoning and problem-solving skills – individually and collaboratively 
  • Ability to work under pressure
  • Ability to quickly learn and work with new processes and systems 
  • Ability to train others on systems and processes
  • Integrity and assertiveness when dealing with complex / business critical issues
  • Microsoft Powerpoint, Excel and Word skills to an intermediate level.

Please apply online



Towergate Health & Protection is an award-winning independent intermediary specialising in health and wellbeing. Our extensive team of expert advisers looks after the health and wellbeing needs of more than 15,000 businesses and around 50,000 individual customers across the world. 

We have an ambition to be the UK healthcare intermediary of choice, and that ambition can only be realised if we constantly challenge ourselves to make things better for our clients. We’re always happy to hear from people who are looking for opportunities to work with us and help our business grow. #TGHP 

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