Compliance Manager - Broker

Job Description

Arthur are working with a London Market Insurance Broker on an exclusive basis 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 within a Financial Services background, preferably within the Lloyd’s Market.
• 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.