Compliance Officer
3 days ago
Twickenham
New Compliance Officer opportunity working with a rapidly growing insurance broker based in Twickenham. Reporting to the Managing Director/ Head of Trading, you will be responsible for ensuring that the business complies with all applicable regulatory requirements, internal policies, and industry standards. This role plays a vital part in managing risk, protecting our clients and business, and supporting a culture of compliance and ethical conduct. Key Responsibilities: • Ensure compliance with FCA, GDPR, ICOBS, and other relevant regulations., • Maintain policies, procedures, and compliance records (e.g., breaches, conflicts, training logs)., • Conduct audits, reviews, and monitoring to identify risks and gaps., • Manage complaints, regulatory filings (RMAR, RegData), and financial promotions., • Provide compliance training and updates to staff., • Act as main contact for regulators, auditors, and external partners., • Support onboarding, due diligence, and oversee the annual compliance monitoring plan. Requirements: • Experience in a compliance/regulatory role within an insurance broker (personal lines preferred)., • Strong knowledge of FCA rules and insurance distribution regulations., • Familiarity with GDPR and data protection requirements.