Compliance Manager

Overview

In this senior, hands-on role you will lead and embed the firm’s regulatory framework within the second line of defence, providing practical compliance guidance across underwriting, operations, claims and risk. You will monitor regulatory developments, assess controls, and escalate breaches while shaping governance and reporting for senior management. The role offers broad stakeholder exposure in a specialist insurance setting, with a focus on conduct risk and regulatory change across Lloyd’s, the London Market and MGA environments. You will drive a proactive compliance culture and contribute to strategic regulatory initiatives.

Responsibilities

• Implement and embed the firm’s Compliance Framework, policies and monitoring programme
• Deliver risk-based Compliance Monitoring and assess effectiveness of systems and controls
• Provide expert advice to the first line across conduct risk, financial crime, data protection and regulatory requirements
• Monitor regulatory developments and keep policies/procedures current
• Identify, investigate and escalate regulatory breaches and compliance issues
• Support regulatory reporting and submissions
• Provide compliance input into new products, business processes and key decisions
• Prepare MI, risk assessments and compliance reporting for senior management
• Support compliance committees and regulatory governance
• Oversee Consumer Duty and conduct risk across the business
• Lead investigation and remediation of serious or escalated complaints
• Develop and deliver compliance training to foster a proactive culture
• Represent Compliance in governance forums and on service company boards

Key requirements

• 7+ years in compliance or regulatory advisory roles
• Strong experience within insurance, Lloyd’s, London Market or MGA environment
• Solid understanding of Lloyd’s, PRA and FCA frameworks, GDPR and conduct risk
• Knowledge of Lloyd’s managing agency responsibilities and regulatory expectations
• Strong commercial awareness of the London Market
• Ability to assess complex situations, provide practical solutions and challenge senior stakeholders
• Strong analytical skills, attention to detail and ability to manage priorities
• Collaborative and ethical leadership with ability to build trust across the business
• Resilience and adaptability in a fast-moving regulatory environment

• collaboration
• ethical leadership
• problem-solving
• regulatory frameworks (Lloyd’s, PRA, FCA)
• conduct risk
• data protection/GDPR

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