Job Description
New Compliance Officer opportunity working with a rapidly growing insurance broker based in Twickenham. Reporting to the Managing Director/ Head of Trading, you will be responsible for ensuring that the business complies with all applicable regulatory requirements, internal policies, and industry standards. This role plays a vital part in managing risk, protecting our clients and business, and supporting a culture of compliance and ethical conduct.
Key Responsibilities:
* Ensure compliance with FCA, GDPR, ICOBS, and other relevant regulations.
* Maintain policies, procedures, and compliance records (e.g., breaches, conflicts, training logs).
* Conduct audits, reviews, and monitoring to identify risks and gaps.
* Manage complaints, regulatory filings (RMAR, RegData), and financial promotions.
* Provide compliance training and updates to staff.
* Act as main contact for regulators, auditors, and external partners.
* Support onboarding, due diligence, and oversee the annual compliance monitoring plan.
Requirements:
* Experience in a compliance/regulatory role within an insurance broker (personal lines preferred).
* Strong knowledge of FCA rules and insurance distribution regulations.
* Familiarity with GDPR and data protection requirements.