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Compliance Manager

  • Location: Hertfordshire
  • Salary: £40,000 - £45,000 per year
  • Job Type:Permanent

Posted 4 months ago

  • Sector: Compliance
  • Contact: Emilia Thomas
  • Contact Email:
  • Expiry Date: 03 November 2021
  • Job Ref: ET/17629

Job Description:  A great opportunity for an experienced Compliance professional to work in a specialist Insurance Brokers. Within this role, you will be required to assist the operations director with ongoing compliance implementation and regulatory reporting requirements; and to ensure the Firm maintains compliant practices in accord with FCA regulations relating to its regulated general non-investment insurance activities.


Key responsibilities include:


  • Assisting with ongoing compliance implementation and regulatory reporting requirements

  • To assess training requirements and maintain training and professional development records for all employees.

  • To structure and organise relevant in-house and external training, as deemed appropriate to the nature of the business.

  • Maintain records of management and staff meetings.

  • Handle complaints in accordance with the FCA guidelines.

  • identify if any changes are necessary to the Firm’s processes to ensure compliance.

  • Provide staff with assistance and clarification where any potential compliance conflicts arise.

  • Monitor changes in employment legislation, review any impact or risk and report to management.

  • Arrange regular meetings with staff to plan their ongoing training requirements.

  • Regularly monitor on-line training facility for usage and after course assessments and update individual personal development files.

  • Organise external training courses, where required and available.

  • Conduct client file audits through Acturis system and report to management plus verify the Firm’s client money calculations and half-yearly FCA returns.

  • Monitor monthly renewals, mid-term adjustments & new business written to ensure contract certainty.

  • Maintain a register of complaints and progress monitor to resolution.

  • Attend relevant training seminars and/or workshops, when necessary, to keep abreast of industry changes and developments.


Key Requirements


High level of inter-personal skills, to include:

  • The ability to build successful, mutually beneficial business relationships.

  • People management.

  • Influencing and negotiation skills.

  • Strong communication skills in a variety of mediums including written, presentation and oral.

  • Planning, organisational and measuring skills.

  • Problem solving skills.

  • Computer literate and have a good understanding of the Company’s computer system.

  • Self development – ability to recognise personal development needs and take responsibility for continuous learning.