Overview
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We’re hiring for a Conduct & Controls Manager to support our growing Commercial Insurance team!
To keep up with our growth in the UK and Ireland, we’re looking for a dedicated Conduct & Controls Manager to operate within the First Line of Defence (1LOD), embedding FCA-compliant practices across mid-market consumer, commercial and wholesale insurance broking operations. You will ensure regulatory requirements are executed effectively at transaction level, overseeing operational controls, file quality, conduct standards and breach identification across the business.
Responsibilities
Using These Skills, You’ll Be
* Leading the day-to-day oversight of FCA regulatory requirements within broking operations, ensuring compliant delivery of demands & needs, suitability documentation, renewal transparency, fair value assessments, and appropriate disclosure of remuneration and conflicts of interest
* Ensuring vulnerable customer processes are consistently applied and aligned with Consumer Duty expectations
* Delivering robust first-line quality assurance through structured file reviews across new business, renewals and mid-term adjustments, alongside thematic reviews (including premium finance, conflicts and delegated authority adherence)
* Reviewing high-risk or complex placements prior to binding where appropriate, identifying systemic control weaknesses, implementing effective remediation, and maintaining clear audit trails of QA activity
* Reviewing marketing materials, new agency/sub-broking/wholesale requests, and overseeing AR relationships
* Managing breaches and incidents from identification through to resolution, assessing impact, investigating root causes, overseeing customer remediation, implementing preventative controls, and ensuring appropriate documentation and regulatory reporting
* Overseeing complaints and customer feedback in line with DISP requirements, ensuring fair, timely and well-reasoned outcomes, identifying root causes and wider organisational risks, implementing Consumer Duty-driven improvements, and escalating material or recurring issues where required
* Championing strong conduct standards by challenging decisions where foreseeable harm risks exist, supporting teams in evidencing good customer outcomes, and reinforcing clear, fair and not misleading communications
* Embedding process and control integrity by ensuring regulatory steps are consistently followed, authority limits and delegated arrangements are adhered to, binder and placement controls are monitored, and regulatory changes are effectively implemented
* Promoting a “right first time” culture through early issue escalation, real-time coaching, constructive challenge, and reinforcing conduct-led decision-making in commercial discussions
Qualifications / Experience
* 3+ years’ experience within commercial or corporate insurance broking
* Experience in a QA, compliance, audit or operational control capacity
* Sound understanding of FCA regulatory expectations in an insurance intermediary environment
* Demonstrable experience identifying and managing conduct risk issues
* Strong working knowledge of FCA requirements including ICOBS, SYSC, DISP, PROD and Consumer Duty
* Practical understanding of conduct risk within commercial broking
* Experience conducting structured file reviews and thematic QA
Nice to Have
* Experience operating within a First Line of Defence control role
* Experience supporting FCA reviews or regulatory visits
* Experience working within delegated authority or scheme environments
* Professional insurance qualification (e.g. Cert CII or above)
What You’ll Love About Working Here
* Working in a dynamic, fast-paced organisation in an exciting industry
* The opportunity to do globally impactful work from day one
* Learning from industry and business line specialists with decades of experience
* A huge variety of projects to work on and challenges to solve
* Our People First culture, which illustrates our commitment to your wellbeing and development, not just as an employee but as a human being
* A rich suite of employee benefits and out-of-work perks
Benefits We Offer
* Finances: Matched employer pension contributions; Life Assurance and Group Income Protection; Lifestyle discounts for well-known brands
* Work-life balance: Opportunity for hybrid working; Generous annual leave allowance
* Health and wellbeing: Comprehensive Private healthcare; Healthcare cash plan; Additional days off throughout the year to focus on your wellbeing
* Charity and community work: Numerous charity fundraising challenges and events; Opportunities to volunteer and give back to the community; Award-winning apprenticeship program
* Social: Two large employee events every year; Social events to get to know your team; Good office locations
* Inclusion and belonging: Dedicated Inclusion and Belonging Committee and Global Advisory Board
Who is NFP? With over 600 people in the UK and Ireland and over 8,000 employees worldwide, NFP is part of the Aon Group and specialises in helping businesses in four core areas: Insurance; Health and safety; Employee benefits; HR, people and talent.
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