Compliance Manager

H.W. Kaufman Group; Slough; On-site; GBP 55,000 - 75,000; Full time

Job summary

HW Kaufman Group seeks a Compliance Manager for a 12-month fixed term to support General Counsel and Head of Legal in managing the organisation's compliance framework and regulatory obligations. The role covers onboarding, KYC, sanctions due diligence and a culture of compliance across the business.

You will lead monitoring, advise on regulations, coordinate with regulators, and drive GDPR/data protection initiatives while maintaining policies, training and management information for senior

Qualifications

• Knowledge of FCA regulatory requirements and insurance market regulations.
• Experience in insurance broking, MGA, delegated authority, or financial services compliance.
• Understanding of financial crime regulations, sanctions, AML, anti-bribery and corruption requirements, data protection, and conduct risk.
• Knowledge of marine insurance broking and London Market practices.
• Excellent stakeholder management and communication skills.
• Strong analytical and risk assessment skills.
• Ability to manage multiple regulatory priorities.
• Experience drafting and reviewing policies, procedures, regulatory submissions, and compliance reports.
• Strong organisational skills and attention to detail.

Responsibilities

• Implement and maintain the compliance monitoring programme and compliance framework.
• Provide regulatory advice and guidance to business teams on applicable regulations and industry requirements.
• Monitor regulatory developments and assess their impact on the business, ensuring appropriate implementation of new requirements.
• Oversee financial crime compliance, including sanctions, AML, anti-bribery and corruption, KYC, fraud prevention controls, and other financial crime risk management activities.
• Support and manage regulatory submissions, notifications, and interactions with regulators.
• Conduct compliance risk assessments and maintain compliance risk registers.
• Lead and support compliance projects, including GDPR and data protection initiatives, policy reviews and regulatory change programmes.
• Investigate compliance incidents, breaches, complaints, and regulatory issues, ensuring appropriate remediation and reporting.
• Supporting the delivery of compliance training and awareness programmes across the business.
• Prepare compliance reports and management information for senior management, risk committees, and boards.
• Maintain and update compliance policies, procedures, and controls to ensure regulatory compliance and adherence to best practice.
• Support internal audits, external audits, and regulatory inspections, and coordinate responses to findings and recommendations.
• Promote a positive compliance culture and support the business in embedding effective regulatory controls and governance arrangements.

Skills

FCA regulatory requirements

Insurance market regulations

Stakeholder management

Analytical skills

Regulatory risk management

Policy drafting

Regulatory submissions

London Market knowledge

Data protection awareness

Financial crime knowledge

Conduct risk awareness

Education

Insurance sector experience (London Market)

Job description

HW Kaufman Group is a family-owned specialty insurance business comprised of Burns & Wilcox (brokerage), RB Jones Global Solutions (underwriting) and Atain (property and casualty insurance). We are committed to providing unsurpassed service to insurance brokers, agents and carriers. We are fully dedicated to serving their unique challenges by providing access to coverage for difficult risks requiring innovative solutions on a regional, national, and international basis.

Role Purpose

12 month Fixed Term Contract to support the General Counsel, Head of Legal and Compliance in overseeing and managing the organisation's compliance framework as well as ensuring adherence to all applicable regulatory, legal, and internal policy requirements. The Compliance Manager provides advice and guidance to the business on regulatory matters, has responsibility for on-boarding of new clients, customers and insurers (including KYC and Sanctions due diligence) promotes a strong culture of compliance, and supports the identification, assessment, and mitigation of compliance risks across the organisation.

Please note that this is a 12 month Fixed Term Contract (to cover a maternity leave) and you must have the right to work in the UK, unrestricted, for the duration. We are looking for someone to start in November.

Key Responsibilities

• Implement and maintain the compliance monitoring programme and compliance framework.
• Provide regulatory advice and guidance to business teams on applicable regulations, and industry requirements.
• Monitor regulatory developments and assess their impact on the business, ensuring appropriate implementation of new requirements.
• Oversee financial crime compliance, including sanctions, anti-money laundering (AML), anti-bribery and corruption, KYC, fraud prevention controls, and other financial crime risk management activities.
• Support and manage regulatory submissions, notifications, and interactions with regulators.
• Conduct compliance risk assessments and maintain compliance risk registers.
• Lead and support compliance projects, including GDPR and data protection initiatives, policy reviews and regulatory change programmes.
• Investigate compliance incidents, breaches, complaints, and regulatory issues, ensuring appropriate remediation and reporting.
• Supporting the delivery of compliance training and awareness programmes across the business.
• Prepare compliance reports and management information for senior management, risk committees, and boards.
• Maintain and update compliance policies, procedures, and controls to ensure regulatory compliance and adherence to best practice.
• Support internal audits, external audits, and regulatory inspections, and coordinate responses to findings and recommendations.
• Promote a positive compliance culture and support the business in embedding effective regulatory controls and governance arrangements.

Key Skills and Experience

• Strong knowledge of FCA regulatory requirements and insurance market regulations.
• Experience in insurance broking, MGA, delegated authority, or financial services compliance.
• Understanding of financial crime regulations, sanctions, AML, anti-bribery and corruption requirements, data protection, and conduct risk obligations.
• Knowledge of key compliance, regulatory and operational matters relevant to marine insurance broking would be advantageous, including sanctions compliance, international trade exposures, financial crime controls, and London Market practices.
• Excellent stakeholder management and communication skills, with the ability to influence and challenge at all levels of the organisation.
• Strong analytical, problem-solving, and risk assessment skills.
• Ability to manage multiple projects and regulatory priorities simultaneously.
• Experience drafting and reviewing policies, procedures, regulatory submissions, and compliance reports.
• Strong organisational skills and attention to detail.

Qualifications

• Experience within the insurance sector, particularly the London Market.

Personal Attributes

• High degree of integrity, professionalism, and ethical conduct.
• Pragmatic, commercial, and solutions-focused approach.
• Ability to work independently and exercise sound judgement.
• Strong interpersonal skills with the ability to build effective working relationships across the organisation.
• Commitment to maintaining professional knowledge and keeping abreast of regulatory developments.