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Compliance Manager (Insurance)

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The details


Job Title:    Compliance Manager
Salary:       £60,000 - £65,000
Location:    Romford (Essex)/Hybrid
A bespoke Insurance Broker is looking to hire an experience Compliance Professional that is looking to take the step up to Compliance Manager.
Key Duties

  • To ensure compliance of the Company’s activities, resources and staff, with the requirements of industry and government lead regulation, within a framework of business efficiency.
  • To monitor and maintain adequate and appropriate systems and controls to ensure that the firm meets its regulatory requirements.
  • To conduct root cause analysis on complaints and report the results to senior management
  • To provide advice and, as necessary, management of any parts of the firm’s FCA compliance planning and to report progress to the company on a regular basis.
  • To assist in reporting to the FCA.
  • To work with other departments when necessary to provide support.
  • To assist in oversight of broker partners

 Key Tasks: 

  • To be aware of current compliance requirements and to be up to date with compliance regulation changes as they occur, so that a measured and effective compliance strategy may be planned and implemented.
  • To work with the Head of Compliance and Senior Management in setting up appropriate systems and controls to ensure that the firm meets its regulatory obligations
  • To regularly monitor and update the compliance systems and controls to ensure that they are performing the function that they should.
  • To maintain such ad hoc records as thought may be appropriate to satisfy requirements of compliance, which may be requested by Regulatory requirements.
  • To undertake such action as is necessary to ensure compliance with any further direction issued by the Financial Conduct Authority and the Office of the Information Commissioner.
  • Support the Head of Compliance in the delivery of the company Compliance Plan and other additional Project Management and supplier support to deliver compliance to FCA regulations
  • To work in conjunction with others to monitor and record compliance of the Company’s activities, including overseeing of required reporting to the FCA and other regulators
  • To network with other professional bodies, stakeholders and Regulatory Authorities to ensure that we are aware of ongoing developments.
  • To provide support and input to the training of staff, preparing for professional qualification and the monitoring of staff as they adhere to a policy of Continuous Professional Development as required by Regulation.

Insurance qualification or equivalent an advantage
ICA qualification preferred

If you have relevant experience for this role & wish to fast track your application, please forward your CV to

Applications Closed