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Compliance Manager - Insurance Broker

The details


Job Title : Compliance Manager
Salary: £70,000 - £80,000
Location: City of London 
As the Compliance Manager, you will utilise your senior compliance experience in insurance to manage the international broker function, ensuring:

  • All brokers are approved in line with the Companies’ Broker Vetting Procedures;
  • The Broker Vetting Framework remains fit for purpose and is developed and adapted in response, as appropriate, to regulatory and internal changes;
  • The broker function supports the business with excellent technical expertise and knowledge and performs to a high standard;
  • The system used for broker oversight is reviewed and developed to enhance and streamline the existing broker review process; and
  • The broker function meets the objectives defined within the Compliance Plan.

Job Responsibilities:
Management of Framework

  • To review and develop the Broker Oversight Framework adopting a best practice, consistent and collaborative approach across the Companies.
  • To ensure that those ToBAs issued to brokers for sign-off are up-to-date, taking into account all applicable regulatory and legislative requirements.
  • To produce the broker section of the Third-Party training module and ensure the delivery of guidance and training to the business / internal stakeholders in the Companies, as required.
  • To oversee and produce the broker sections of the annual Compliance Plan and ensure proposed projects / tasks are completed as scheduled.
  • To manage the circulation of market updates and guidance, as necessary, to business units within the Companies on compliance with regulatory, general market and Lloyd’s requirements relating to brokers.
  • To oversee the management of brokers by the Companies’ European entity, assisting with queries, as necessary.
  • To manage the agreements with external service providers that support the broker review process, ensuring these contracts are managed on a regular basis and renewed as required.

Skills and Experience Specification:

  • 5 years’ experience within a Compliance Department, with technical knowledge of the broker market.
  • Previous managerial experience.
  • Experience within the Insurance and Lloyd’s Market.
  • Computer literate with knowledge of Microsoft Office products, i.e. Word and Excel.
  • Strong organisational and workload management skills.
  • Strong analytical and written skills.
  • Attention to detail; due diligence and investigative skills.
  • Ability to communicate effectively with individuals at all levels of the business in a confident and professional manner.
  • Hard working, diligent and a quick learner.

If you have relevant experience and want to discus the role in more detail, please reach out to Kane Pelgrom on 02035877908 or send your CV direct to

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