Compliance Officer (Fixed term 12 months)

As the Compliance Officer supporting the UK Business Unit you will drive the Business Unit’s understanding of regulatory risk, provide advice and help establish and improve control frameworks where necessary. You will be expected to combine your ability to understand the operational and commercial complexities of the business with the need to drive through regulatory change. Working with stakeholders at all levels of seniority you will be expected to provide advice and challenge in a constructive effective way. While the role is heavily focused on conduct regulation there’s the opportunity to work on other regulatory topics such as financial crime, licencing and prudential topics.

What You’ll Be Doing

  • Working with stakeholders to establish a good compliance culture
  • Providing regulatory advice and developing the Business Unit’s understanding of regulatory risk
  • Identifying commercially viable solutions to the application of regulatory requirements
  • Communicating regulatory change and establishing control frameworks
  • Proving regulatory SME support to projects and change initiatives
  • Addressing findings from compliance monitoring reviews
  • Preparing Executive and Board level presentations
  • Overseeing the UK Business Units key regulatory risks
  • Responding to the UK Business Units day to day regulatory queries
  • Co-Coordinating and submitting key regulatory returns
  • Supporting the wider compliance team (e.g. weekly sanctions screening)

To succeed in this role you will have a strong technical regulations background and will be comfortable working in a complex and dynamic environment. You will be dealing with lots of different people, systems, processes and information so you’ll have to be versatile, flexible and highly organised. Personable and engaging your goal will be to build relationships with senior stakeholders and it’s essential you have the communication skills that enable you to articulate your position clearly and persuasively.

Person Specification

Our must haves:

  • Ideally 3 – 6 years experience in a compliance role. Those with less years but the right level of knowledge will naturally be considered
  • A solid understanding of UK conduct regulation (ICOBs, FCA handbook etc.)
  • In depth knowledge of and experience in insurance is very desirable but we are open to wider Financial Services.
  • Knowledge of the UK retail insurance market would be an added bonus
  • Ability to combine “soft” influencing, persuasion and consultancy skills with an ability to encourage business leaders to positively respond to questions, requests and challenges
  • Excellent written and verbal communication skills, capable of working with people at all levels within and external to the business
  • A key eye for detail and perhaps most importantly – sound judgement – and the ability to solve problems and identify commercially viable solutions


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