Compliance Role Lloyds Broker

Overview

In this role, you will support the Risk & Compliance function in a busy financial services environment, ensuring FCA-regulated areas meet requirements and regulatory changes are implemented. You will help develop and monitor the Compliance Plan, embed Lloyd’s requirements, and assist with AML and sanctions checks. You’ll liaise with regulators, support audits, and drive end-to-end issue resolution. This role offers the chance to shape compliance processes and strengthen governance across the business.

Responsibilities

• Assist in compliance duties across significant business processes with assurance for FCA-regulated areas
• Monitor, analyse and communicate regulatory developments; update working papers
• Provide guidance/sign-off on financial promotions
• Implement oversight and audit requirements under SYSC
• Develop and lead the Compliance Plan as approved by the Board
• Embed Lloyd’s requirements and support AML activities
• Lead projects and develop implementation plans
• Develop internal policies/procedures; manage breach register and resolutions
• Assist the Board in risk identification and mitigation
• Liaise with regulators (FCA) and Lloyd’s on queries
• Monitor FCA/Lloyd’s publications and execute follow-up actions
• Facilitate insurer and client audits (Lloyd’s Binders)
• Collate data and file returns to Lloyd’s and the FCA
• Attend external trainings and report back to Board/staff
• Review and submit new clients/insurers for approval; conduct sanction checks
• Keep client and insurer lists updated; ensure FCA compliance in procedures

Key requirements

• Attention to detail
• Regulatory liaison and communication
• Project leadership
• FCA regulations knowledge
• Lloyd’s requirements
• SYSC oversight and auditing

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