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Compliance Officer

Applications for this role are now closed. View similar roles here.
The details


We are working with a reputable Broker as they seek a Compliance Officer to join their team.

Reporting into the Head of Compliance, you will be required to support them and the wider team on a daily basis, particularly regarding ever-changing regulatory requirements.

Main Duties

  • Implementing efficient strategies and to gain knowledge of office specific business activities.
  • Adding value to the development of the Compliance function’s long-term strategy.
  • Taking into account the impact of all matters of concern or changes that arise in the business, from their regulators, the insurance market or European Commission.
  • Taking a leading role on horizon scanning and identification of emerging regulatory issues
  • Making sure all company procedures are in place and efficient in mitigating regulatory risk
  • Ad hoc responsibility for regulatory submissions via all relevant platforms.
  • Record breaches and complaints, ensuring appropriate records are maintained and lessons learned with corrective actions implemented to prevent future problems

Person Specification

  • Strong understanding of the regulatory framework, particularly SMCR and ICOBS and their application within the business.
  • Ability to identify opportunities for business efficiency, develop and implement internal systems and controls.
  • Ability to build effective and positive business relationships, and deliver solutions to stakeholders
  • A professional individual in negotiation – able to listen and be influential in hitting goals.
  • Proven ability to be flexible and adaptable to an ever-changing environment
  • Skilled problem solver including the ability to resolve complex issues and devise actionable solutions
  • Able to collect, analyse and interpret management information and data to facilitate decision making
Applications Closed