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Compliance Operations Controller (Home based)

  • Location: Liverpool, United Kingdom
  • Salary: c.£40,000 + Benefits per year
  • Job Type:Permanent

Posted 3 months ago

  • Sector: Compliance
  • Contact: Paul Sherlock
  • Contact Email:
  • Expiry Date: 07 August 2021
  • Job Ref: PS/17221L

Our client is a rapidly expanding Insurance business who are going through a period of growth and making a significant impact across the market. An exciting opportunity has arisen to join the firm in the role of Compliance Operations Controller. In this role, you will contribute to and support the group’s governance, risk and compliance framework.



  • Lead on operational implementation of legislation and regulation, subsequently monitoring adherence.
  • Operate the Compliance Monitoring Programme, ensuring all activities are fulfilled correctly and on time.
  • Provide operational compliance advice/approval to business functions in efficient and effective manner, ensuring the operational activity in question is understood fully before providing advice. Keeping detailed records of all compliance approvals provided.
  • Support an environment that balances innovation and compliance to result in a can-do culture.
  • Identify compliance and risk issues and provide solutions in a timely manner.
  • Be a key contact for staff who act as the first line of defence engagement to guide on conduct risk and compliance issues.
  • Regularly review existing products and services and related materials.
  • Ensuring that all staff are aware of, and comply with, the firm’s own procedures and all relevant FCA requirements in relation to selling practices.
  • Ensure appropriate operational controls are in place to manage conduct risk
  • Maintain compliance &/or regulatory policies, procedures and processes to ensure they support the business in satisfying compliance requirements and reflects operations.
  • Provide operational updates and MI on compliance matters to senior management monthly.

Skills and experience:

  • Compliance experience within the insurance industry (motor insurance)
  • Detailed knowledge of FCA regulations.
  • The ability to support and influence colleagues in relation to their compliance and risk responsibilities.
  • Tenacity to investigate areas of concern across all business functions.
  • An ability to interpret, understand, maintain and advise the business on a broad range or legal and regulatory issues.


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.