Compliance Manager - Group Lead

Arthur; Greater London; On-site; GBP 60,000 - 85,000; Full time

Job summary

A financial services firm in Greater London is seeking a Compliance Lead to manage and develop its compliance framework. This role includes ensuring adherence to FCA regulations, providing guidance across the business, and promoting a strong culture of compliance. The ideal candidate will have proven experience in compliance within the insurance sector, strong knowledge of FCA rules, and excellent communication skills. This position offers opportunities for professional growth in a dynamic environment.

Qualifications

• Proven experience in compliance within an insurance broker.
• Strong knowledge of FCA rules applicable to insurance distribution.
• Excellent analytical and problem-solving skills.

Responsibilities

• Lead and enhance the compliance monitoring program.
• Ensure compliance with FCA requirements.
• Provide compliance training and awareness programs to staff.

Skills

Compliance experience in insurance

Knowledge of FCA rules

Strong communication skills

Analytical skills

Stakeholder management

Attention to detail

Education

Professional qualifications (e.g., ICA, CII)

Job description

Overview

The Compliance Lead will be responsible for managing and developing the firm’s compliance framework, ensuring adherence to FCA regulations and industry best practices. You will act as the primary point of contact for regulatory matters, provide guidance across the business, and ensure a strong culture of compliance and ethical conduct.

Responsibilities

• Lead, maintain, and enhance the compliance monitoring program.


• Ensure compliance with FCA requirements, including SMCR, conduct rules, financial crime prevention, and consumer duty.


• Act as a subject matter expert on regulatory developments, assessing their impact on the business and ensuring timely implementation of changes.


• Oversee complaints handling, financial promotions approval, and product governance.


• Provide clear compliance advice to management and staff, supporting business decisions while managing regulatory risk.


• Manage the relationship with the FCA and other regulatory bodies, including handling regulatory reporting and notifications.


• Deliver compliance training and awareness programs to staff.


• Support internal audits and contribute to risk management processes.


• Embed a strong compliance culture across the business, promoting ethical conduct and customer-first values.

Qualifications

• Proven experience in compliance within an insurancebroker


• Strong knowledge of FCA rules, particularly those applicable to insurance distribution.


• Practical understanding of SMCR, consumer duty, and financial crime regulations.


• Excellent communication and stakeholder management skills, with the ability to influence at all levels.


• Strong analytical and problem-solving skills, with attention to detail.


• Ability to balance commercial objectives with regulatory requirements.


• Professional qualifications (e.g., ICA, CII, or equivalent) desirable.