Risk and Compliance Manager – Retail Broking
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Job Description
Risk and Compliance Manager supporting compliance obligations for retail broking businesses in the UK. Providing regulatory guidance while working closely with the Risk & Compliance team remotely.
Responsibilities:
- Provide regulatory subject matter expertise and guidance to retail firms
- Support horizon scanning and communicate regulatory changes
- Respond to ad-hoc compliance queries
- Review and approve financial promotions
- Manage risk registers and KRIs, providing oversight and challenge
- Identify and report breaches, ensuring appropriate actions are taken
- Assist with regulatory filings and submissions
- Deliver risk and compliance training across the Broking Division
- Support internal reporting for the Broking Risk & Compliance Committee
- Review and update R&C owned policies in line with agreed review cycles and internal governance requirements
- Provide data protection support to the Data Protection Officer, including compiling Data Subject Access Request responses in accordance with regulatory requirements and internal procedures
- Oversee key contracts (e.g., TOBAs, Delegated Authorities)
- Support compliance due diligence on acquisition targets
- Support integration of newly acquired businesses and remedial actions
Requirements:
- Proven experience in a Risk & Compliance role within commercial or personal lines general insurance
- Strong knowledge of the FCA Handbook and reporting requirements
- Experience managing regulatory and conduct risks
- Familiarity with risk management frameworks
- Ability to build strong relationships and act as a trusted business partner
Benefits:
- Competitive salary with an annual pay review and bonus scheme.
- Remote working
- 27 days annual leave (includes a day off for your birthday and another for a religious holiday of your choice) + bank holidays
- Auto enrolment into our excellent pension scheme (5% employer matched contribution)
- Flex-benefits- A range of flexible benefits to choose from, that are most important to you
- Group Life Assurance cover
- 3 months Maternity, Paternity & Adoption leave all fully paid
- Perks at work- amazing discounts on cinema tickets, meals out, luxury items etc.
- Annual leave purchase scheme- up to 5 days annually
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