Compliance Manager (Insurance)

HFG Insurance
England, City of London, London
£70000.00 - £80000.00 per annum
09 Nov 2020
07 Dec 2020
Paul Miller
Employer Sector
Financial Services, Insurance
Contract Type
Full Time

In this role, you will be part of a small compliance team and will support the head of compliance in providing regulatory compliance and governance

What you will do:

Planning and development

  • Promote a positive compliance culture within every aspect of the business
  • Maintain, in partnership with the business, a robust operational compliance framework that serves to manage and mitigate exposure to the compliance and regulatory risks that may stem from the products offered
  • Support the development of strategies which will mitigate emerging compliance risks
  • Lead the drafting of the annual Compliance Plan and compliance policies and be integral in their delivery and implementation


Governance and Advisory

  • Draft and present reports for presentation to our committees and Boards
  • Manage the preparation of non-financial regulatory and quasi-regulatory returns, applications and notifications, and other external information requests
  • Guide and advise the business on maintaining and enhancing our compliance with the various global regulations which we are subject to
  • Organise the delivery of compliance training to the business
  • Nurture excellent relationships with senior managers to ensure that regulations and any updates to them are understood and that compliance processes are embedded
  • Support the protection of confidential information



  • Manage the completion of monitoring tasks in accordance with the compliance timetable, to ensure business adherence to internal and external requirements
  • Work with the business to resolve any incidence of non-compliance and deliver of the business timetable
  • Oversee broker due diligence as required
  • Raise awareness of the risks, and ensure the appropriate management of, conflicts of interest
  • Conduct and supervise internal investigations and the resolution of alleged acts of non-compliance, and set out any resulting requirements appropriately
  • Run the process by which the business guards against the risk of breaching international sanctions imposed by relevant bodies
  • Support the process of verification of banking details of business suppliers
  • Manage the framework of activity to demonstrate compliance with applicable data protection standards


Treating customers fairly

  • Promote a conduct culture that has the fair treatment of our customers at its centre
  • Oversee the resolution of complaints made by third parties


What you require for the role

  • Knowledge and experience of working within the regulatory regimes governing UK and international Finance and Insurance companies, as well as the Lloyd’s Insurance Market and its rules
  • Excellent interpersonal skills.
  • The ability to communicate clearly, concisely, on time and to any audience, no matter what the medium, is essential in this role.
  • Superior organisational and prioritisation skills and be capable of responding positively to pressure and multiple priorities
  • Adaptability and a willingness to learn and improve services and processes
  • An instinct to be proactive, collaborative and helpful to colleagues, following up tasks appropriately, keeping the team up to date on activities and progress
  • Strong Microsoft Office skills
  • Sophisticated analytical skills and attention to detail

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