Compliance Manager - Broker

Arthur Recruitment; Greater London; On-site; GBP 50,000 - 70,000; Full time

Job summary

An established industry player is seeking a Compliance Manager to enhance their regulatory framework. In this pivotal role, you will collaborate with a dynamic team to ensure compliance with FCA conduct rules and oversee regulatory changes. Your expertise in regulatory compliance within the insurance sector will be crucial as you navigate complex regulations and support the implementation of strategic changes. If you are driven by a desire to progress and develop in a supportive environment, this opportunity offers a chance to make a significant impact in a growing firm.

Qualifications

• Experience in regulatory compliance in the insurance sector.
• Strong understanding of FCA conduct rules.

Responsibilities

• Assist with implementation of regulatory changes.
• Review breach registers to identify control weaknesses.
• Stay updated on regulatory changes across UK and EU.

Skills

Regulatory Compliance

ICOBCS

Communication Skills

Analytical Skills

Job description

1 week ago Be among the first 25 applicants

This range is provided by Arthur Recruitment. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

Direct message the job poster from Arthur Recruitment

Arthur are working with a London Market Insurance Broker as they seek a Compliance Manager to join their dynamic team.

Reporting into the Senior Compliance Manager, you will be responsible for helping the wider compliance team with the production and maintenance of the group regulatory compliance framework with a focus on regulatory conduct.

Main Duties

• Assist the broking business with implementation of new changes arising either from regulatory or strategic changes.
• Review of breach registers and E&O’s to identify control weaknesses, trends and root cause analysis.
• Staying on top of horizon scanning across UK and EU to ensure effective oversight of regulatory and legislative changes.
• Supporting with oversight of Appointed Representatives.
• Assisting with ensuring the firm’s SMCR accountabilities are accurate.
• Ensuring stakeholders are aware of the latest regulatory expectations including FCA conduct rules and financial promotions standards.
• Champion the FCA Conduct and Consumer Duty rules, acting as a point of contact to seek advice from.
• Collaborating with the wider Compliance team to ensure appropriate policies exist to comply with legislation.

About You

• Ability to manage, prioritise and work independently.
• Experience in regulatory compliance in insurance.
• Strong understanding and demonstrable experience with ICOBS.
• Exceptional written and verbal communication skills.
• Genuine desire to progress and develop personally.
• Previous experience in regulatory Conduct themes.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

• Industries

  Insurance and Insurance Agencies and Brokerages

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