Our client is a leading General Insurance broker 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 the 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.

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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:​

•           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

•           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

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