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Compliance Monitoring Manager - Home working

  • Location: London
  • Salary: £60,000 - £70,000 per year
  • Job Type:Permanent

Posted 2 months ago

  • Sector: Compliance
  • Contact: Kirstie Burn
  • Contact Email:
  • Contact Phone: 0203 637 1603
  • Expiry Date: 13 October 2023
  • Job Ref: KBU/10108

One of the UK’s largest Insurance brokers is requiring a strong regulatory professional for a newly established role in a new central compliance function. 



This role is in the Central Compliance team supporting four divisions. The role will manage and oversee a Central Compliance Monitoring Function that will be responsible for:

  • Providing Governance Committees with regulatory risk profiles of each Pillar and the firm as a whole.
  • Providing a single view of the UK regulatory risk landscape to regulators.
  • Providing relevant management information to the CCO and the Senior Management of the Central Compliance UK Broking Pillars to inform their understanding of regulatory risks and customer outcomes across the Pillars. 
  • Developing Central Compliance Monitoring Plan in collaboration with Pillars and Internal Audit.

Key Accountabilities:

  • Review Regulatory and Governance Committee Packs of both Pillars to identify any other key matters of interest, emerging risks, trends etc.
  • Investigate metrics and data available across the group to determine what regular regulatory risk profiling and testing can be undertaken centrally.
  • Develop strategic approach for enhancing data monitoring capabilities.
  • Undertake UK-wide thematic reviews for key regulatory risks, either planned or in response to increased risk profiles, downward trends, incidents or regulatory requests/focus.
  • Deliver thematic reports and results which provide collective view across HBG UK as a whole, but also provide insight in respect of each Pillar and each regulated entity in scope of any review.


  • 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, CONC.
  • Good knowledge of SM&CR
  • Good knowledge and understanding of insurance, principles, products, and services.
  • Experience working in a second line financial services compliance role.
  • Experience of operating in a monitoring or audit role of a financial services firm.


Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

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