Job Description
Our client is a successful, respected directly authorised life brokerage with directors who have been working alongside protection providers for over 30 years. Along with our advisors, they possess a wealth of knowledge within the market.
As part of their growth, they are seeking to appoint an experienced Compliance Manager to oversee and proactively manage the protection advisers and the compliance team, providing initial training and ongoing support and guidance.
Monitoring and reporting mechanisms are the backbone of effective compliance management. Compliance Officers establish systems to detect and address non-compliance before it escalates.
The successful candidate will have a strong technical background coupled with leadership and coaching qualities that will enable the team to reach their full individual and collective potential.
Key Responsibilities
1. Day-to-day leadership and oversight of the compliance function.
2. Train, coach, develop, and upskill protection advisers and compliance staff through regular coaching, performance management, and leading by example.
3. Create and own all policies and processes related to Internal Compliance Monitoring.
4. Ensure appropriate sign-off and adherence to Sanctions & PEP checks through the compliance team.
5. Stay up-to-date on all regulatory changes.
6. Facilitate efficient and effective resolution of customer complaints in line with regulatory standards.
7. Manage and report on trends and root cause analysis to ensure prompt action within the business, with follow-up to close loops.
8. Support the development and delivery of compliance KPIs, analytics, and reporting to provide clear operational feedback.
9. Oversee GDPR complaint handling and DSARs.
10. Educate the workforce by providing relevant, role-specific training for new and existing staff, fostering a culture of excellence through knowledge.
The Person
1. Experience within an advice background in the protection market is highly advantageous.
2. Proven leadership skills—able to recognize, coach, and support individual development needs.
3. Ability to lead by example, create a vision, motivate, and inspire others.
4. Demonstrable experience working within an insurance-based compliance, quality, and complaints environment at a similar level.
5. Good knowledge of FCA and FOS guidelines, especially ICOBs, DISP, CIDRA 2012, and DPA 2018.
6. Attention to detail and accuracy in work.
This is an exceptional opportunity to join a growing, progressive business where individuals are valued and recognized for their contributions.
Please note:
It is Knight Temple Recruitment’s policy to respond to all applications within three working days. If your application is not progressed, your details will not be retained unless you request us to do so.
Knight Temple Recruitment is a recruitment agency representing our client.
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