Compliance Officer

My client requires a Compliance Officer to oversee regulatory and compliance frameworks on a 12-month fixed-term contract basis.

Day-to-day responsibilities include:

• Monitoring regulatory changes
• Reviewing policies and procedures
• Ensuring adherence to insurance and financial services regulations
• Conducting compliance audits and risk assessments

The role involves:

• Drafting and maintaining compliance documentation
• Delivering staff training
• Advising senior management on compliance matters and remedial actions

You will collaborate with internal teams and external stakeholders, including regulators and partners, to promote a strong culture of compliance and ethical conduct.

Key Accountabilities:

• Ensure compliance activities, attestations, declarations, and governance records are completed accurately and within required timescales.
• Support the delivery of the Compliance Monitoring Plan through reviews, reporting, and follow-up of actions.
• Produce accurate management information and reports for governance committees and senior management.
• Coordinate broker onboarding and annual due diligence processes, ensuring appropriate documentation is obtained, reviewed, and monitored.
• Manage Financial Ombudsman Service (FOS) complaint administration, investigations, complaints inbox management, record keeping, and outcome reviews.
• Maintain, review, and develop policies and procedures to ensure they remain current and compliant with regulatory requirements.
• Support regulatory horizon scanning, sanctions compliance, conduct monitoring, and wider regulatory initiatives across the business.
• Identify continuous opportunities to improve compliance processes, controls, reporting, and governance arrangements.