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Compliance Manager - Conduct

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The details


Compliance Manager - Conduct  London/Hybrid

My client has a fantastic opportunity for an experienced compliance manager to join their growing team.

The ideal candidate will hold atleast 5 years compliance experience within insurance with a focus on conduct, this is reflected in the seniority of the role.
Lloyds experience is prefered but not essential.

Reporting into the CRCO you will be responsible for day-to-day management of the Company’s compliance resource, within a matrix structure, and practical implementation of relevant parts of the compliance plan with a particular focus on conduct risk. 


  • STRATEGY: To execute a robust and sustainable compliance framework, working with the CRCO to ensure prioritisation of compliance resource to areas of highest risk within the business through the compliance plan.
  • TEAM LEADERSHIP: Provide oversight of compliance team resource, within a matrix structure, working with counterpart on the team to ensure appropriate prioritisation of resource against relevant business risks. The role holder will have line management responsibility for at least one direct report.
  • STAKEHOLDER MANAGEMENT: Ensure that the team maintains good and value added relationships with underwriters, risk function, and others.
  • INTERNAL REPORTING: To maintain and develop the syndicate’s suite of internal reporting on conduct risk, complaints, and other relevant matters, providing value added analysis to the business, senior management and the relevant committees.
  • EXTERNAL REPORTING: Oversee the syndicate’s process for providing accurate and timely reporting to Lloyd’s on matters relevant to the role (e.g. complaints and conduct reporting), PRA and FCA.
  • CONDUCT RISK & COMPLAINTS: Ensure the syndicate’s conduct risk and complaints infrastructure and business liaison processes function efficiently and effectively, including:
    • Ensure proper records and reporting relating to any complaints or incidents that must be recorded and/or reported and ensure that proper notifications of the same take place promptly and transparently.
    • Provide compliance advice and guidance to the business on the conduct risk or related implications of any new products, markets, or services provided or being considered. This will include oversight of the conduct risk assessment, product value, and FCA Consumer Duty processes and controls.
    • To maintain good working relationships with regulators and ensure that regulatory queries are addressed promptly and effectively.


  • Good understanding of PRA, FCA, and Lloyd’s rules, standards, and expectations
  • Good understanding of the prevailing insurance and relevant corporate legal environment
  • Excellent communication and interpersonal skills
  • Excellent writing and presentational ability
  • Able to liaise with staff at all levels of the organisation, establishing and maintaining credibility in the business.
Applications Closed