Broadgate
Compliance Assurance Contractor
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Compliance Assurance Contractor
An insurance client is seeking an experienced compliance assurance contractor to join its Group Compliance Assurance team for a fixed three-month period. The role is required to deliver defined second line assurance reviews within this timeframe, with a primary focus on completing allocated reviews to the required assurance standard. The successful candidate will be highly experienced, autonomous, and able to operate with limited guidance, producing clear, evidence-led outputs suitable for senior stakeholders.
Purpose of the Role
- Deliver allocated compliance monitoring reviews within the three-month engagement period.
- Take ownership of the end-to-end review process: planning, evidence requests, testing, stakeholder engagement, findings development, and report drafting.
- Provide robust second line assurance over key regulatory and conduct risk areas, focusing on customer outcomes, fair value, governance, oversight, and control effectiveness.
- Operate independently and at pace, using existing review methodology and internal documentation standards, with limited day-to-day guidance from the permanent team.
- Produce clear, evidenced, and proportionate assurance outputs that support management understanding of key risks, control gaps, customer impact, and practical next steps.
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Key Deliverables
- Completion of the assigned review within the contract period, without extension or reliance on significant additional internal resource.
- Approved review scopes and testing approaches that are proportionate, risk-based, and aligned to the agreed compliance monitoring methodology.
- Completed testing, evidence review, and working papers maintained to a standard that supports robust second line assurance conclusions.
- Draft and final reports setting out key findings, ratings where applicable, customer outcome considerations, root cause observations, agreed management actions, and due dates.
- Regular, concise progress updates to the Senior Group Compliance Assurance Manager, including early escalation of delivery risks, stakeholder delays, or evidence gaps.
Required Skills and Experience
- Strong insurance sector experience, ideally including general insurance, motor products, ancillary products, product governance, customer outcomes, and FCA conduct regulation.
- Practical experience of compliance monitoring, second line assurance, audit, or risk-based review activity, including scoping, testing, evidence assessment, and report writing.
- Good understanding of Consumer Duty expectations, fair value requirements, customer journey assessment, and evidencing good customer outcomes.
- Ability to work autonomously and manage competing priorities within a short delivery window.
- Confident stakeholder engagement skills, including requesting evidence, challenging constructively, and agreeing practical management actions.
- Strong written communication skills, with the ability to produce balanced, senior-ready assurance reporting.
- High attention to detail and sound judgement when interpreting evidence, assessing control effectiveness, and identifying conduct or customer outcome risks.
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Working Style and Expectations
- Able to onboard quickly, understand the review requirements, and begin delivery with minimal lead-in.
- A self-starter who can work independently, organise their own workload, progress evidence requests, and escalate issues promptly.
- Expected to use existing compliance monitoring templates, governance routes, and reporting standards, rather than develop a new methodology.
- Given the fixed timeframe, delivery discipline, clear communication, and timely escalation will be essential.
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