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Compliance Officer - Manchester/Hybrid

The details


Compliance Officer - Manchester/Hybrid

• Respond to queries on regulatory requirements from Partners and providing regulatory advice to the businesses
• Undertake regulatory horizon scanning, including interpreting and implementing upcoming regulatory change
• Prepare and deliver the compliance monitoring plan
• Prepare regulatory applications and returns
• Prepare and deliver training on regulatory matters
• Manage agency onboarding and TOBAs

• Manage day-to-day oversight of outsourcing arrangements
• Support the Managing Directors with general operations of a small broker where required, for example payroll.
• An opportunity to join a fast growing and hugely successful insurance broker that is investing in new capabilities to leverage that success.
• Being tested in a challenging work environment.
• Having access to a diverse range of colleagues with market-leading expertise in their various disciplines.
• Having the opportunity to collaborate with different business units.

Skills/ Attributes Required

• Knowledge and demonstrable understanding of FCA regulation for insurance intermediaries for both commercial and retail lines, including Conduct Risk
• Strong communication skills and the ability to properly communicate issues with senior personnel
• Ability to apply professional scepticism, with good interpersonal skills and the ability to challenge those of varying levels of seniority WHAT YOU WILL ENJOY


• Demonstrable interest and experience in regulatory horizon scanning, including interpreting and implementing regulatory change and rules to practical scenarios
• Ability to work well within a team but also be self-motivated, independent and organised
• Proficiency in Microsoft applications including Microsoft Powerpoint, Word and Excel


• Experience working in a Compliance function at an insurance intermediary / the FCA / a consultancy providing advisory services to insurance firms
• Good knowledge of Financial Crime legislation and experience in helping organisations comply with AML, sanctions, anti-bribery and fraud
• Good knowledge of GDPR and experience in supporting organisation’s compliance with data protection requirements
• Understanding of operational risk management
• Experience in the retail insurance sector
• Experience in preparing regulatory applications and returns
• Experience and/or curiosity about using technology, AI and data

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