Compliance Manager - Broker

JR United Kingdom; Slough; On-site; GBP 45,000 - 70,000; Full time

Job summary

A leading London Market Insurance Broker is seeking a Compliance Manager to enhance their regulatory compliance framework. The role involves supporting compliance strategies, managing regulatory changes, and ensuring alignment with FCA standards. Ideal candidates will have significant experience in insurance regulatory compliance and a strong grasp of conduct rules.

Qualifications

• Experience in regulatory compliance within insurance.
• Strong understanding of ICOBS.
• Experience with regulatory conduct themes.

Responsibilities

• Assist with implementing new regulatory changes.
• Review breach registers and identify control weaknesses.
• Monitor UK and EU regulatory changes.

Skills

Regulatory compliance

Communication skills

Ability to manage

Education

Experience in insurance regulatory compliance

Job description

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Arthur is working with a London Market Insurance Broker seeking a Compliance Manager

Reporting to the Senior Compliance Manager, you will help the compliance team with the production and maintenance of the group regulatory compliance framework, focusing on regulatory conduct.

Main Duties

• Assist the broking business with implementing new changes arising from regulatory or strategic updates.
• Review breach registers and E&O’s to identify control weaknesses, trends, and root causes.
• Monitor horizon scanning across UK and EU to stay updated on regulatory and legislative changes.
• Support oversight of Appointed Representatives.
• Help ensure the firm’s SMCR accountabilities are accurate.
• Keep stakeholders informed about the latest regulatory expectations, including FCA conduct rules and financial promotions standards.
• Champion FCA Conduct and Consumer Duty rules, serving as a point of contact for advice.
• Collaborate with the wider Compliance team to develop and maintain compliant policies.

About You

• Ability to manage, prioritize, and work independently.
• Experience in regulatory compliance within insurance.
• Strong understanding and experience with ICOBS.
• Excellent written and verbal communication skills.
• Genuine desire for personal growth and development.
• Previous experience with regulatory Conduct themes.