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Compliance Monitoring Officer

Applications for this role are now closed. View similar roles here.
The details


A leading Insurance broker are looking to add a Compliance Monitoring Officer to their team in order to support all four divisions of the group.

The Role 

  • Creating a single view of regulatory risk across the Central Compliance UK Broking Pillars for UK Governance Committees
  • Reporting to the Chief Compliance Officer and the Senior Management of the Central Compliance UK Broking Pillars to inform their understanding of regulatory risks and customer outcomes across the Pillars. by developing, analysing and reviewing data from the pillars and undertaking thematic reviews for key regulatory risks
  • Working closely with the Central Monitoring Manager to determine own work priorities and activities in line with agreed objectives to ensure the achievement of the Annual Monitoring Plan
  • Ensuring the timely completion of allocated tasks, activities and projects.
  • Participating in specific initiatives/projects to investigate metrics and data available across the group.
  • Providing support in the development of relevant management information.
  • Reviewing reporting and understand regulatory performance, key emerging risks, trends etc.
  • Undertaking specific thematic reviews, or elements of, either independently or with other Central Monitoring team members.
  • Interacting with the Pillar compliance monitoring functions and other Pillar Compliance stakeholders as required to scope reviews.


  • Good knowledge of FCA requirements specifically relating to Non-life insurance products within ICOBs (MCOBS & COBS, desirable but not essential).
  • Good knowledge of the FCA handbook including – PRIN, SYSC, SUP, ICOBS.

Strong knowledge and understanding of insurance, principles, products and services.

Knowledge and Experience

  • Minimum of 2 years’ experience working in a second line financial services compliance role.
  • Experience of operating in a monitoring or audit role of a financial services firm desirable but not essential.
  • Experience of retail, specialty and commercial insurance products.

Skills and Qualifications

  • Self-starter/ able to work independently
  • Influencing skills
  • Actively listens
  • Strong regulatory focus
  • Strong written and oral communication skills
  • Strong analytical skills
  • Strong organisational and time-management skills
  • Team worker
  • Logical
  • Able to prioritise effectively
  • Compliance Industry or Internal Audit recognised qualifications desirable but not essential depending on relevant experience.
  • Educated to a minimum of ‘A’ level standard
Applications Closed