Our client helps clients identify risks and put in place suitable products to give peace of
mind. Based in a number of locations across the UK with is an established and experienced team of
chartered insurance brokers and a dedicated claims management team.
Job Summary
Reporting to the Operations Director, the Compliance Officer will act as an independent individual
and will be primarily responsible for ensuring that our business processes, transactions, and
corporate governance follow all relevant regulatory, legal, and internal guidelines. Your duties
will include reviewing employee work, developing company policies, and responding to policy
violations, ensuring our operations are FCA compliant.
The ideal candidate will be professional, highly analytical, and possess excellent written and
verbal communication skills with several years of experience in a similar role. To prosper in this
role, you should be fluent in risk management, FCA regulations and our industry’s principles.
Core Responsibilities
• An approved person for the company
• Evaluate, investigate, and resolve compliance and corporate governance issues
• Produce monthly compliance report
• Deal with and resolve incoming complaints within the desired timescales
• Responsible for the recording and notification to relevant parties of internal
breaches
• Control relationship with compliance consultants (RWA)
• Liaise with managers from a compliance prospective to ensure audits and file
monitoring are being processed in a timely fashion
• Ensure that all advice and operations remain FCA compliant
• Stay abreast of regulatory and market changes
• Be the key referral point for external legal and compliance assistance
• Participate in the due diligence activities of the M&A Programme
• Secretary to the Compliance Committee
• Horizon scanning of regulatory matters
• Provide compliance support for all employees
• Working closely with the Commercial Director on commercial decisions
• Other ad hoc project work, as specified by the Line Manager
Skills / Experience
• Act as a referral point to both employees and providers
• Focus on quality, professional standards of delivery and personal growth
• Ability to work on own initiative and to prioritise incoming workloads
effectively
• Thorough understanding of operations and procedures with the ability to
interlink compliance standards
• Flexibility displayed towards escalated issues
• Ability to work to strict deadlines
• Committed to equality and diversity
Essential Qualifications
• CII Certificate in Insurance
• Working towards Diploma in Insurance
• 3 – 5 years’ proven experience in a compliance role
• In-depth knowledge of General Insurance Industry and Regulatory Framework of the
FCA
• Excellent oral and written communication skills
• Analytical with strong attention to detail
