Compliance Monitoring Officer - UK Leading Insurance Specialist

Posted 10 April by Broadgate Search Ltd Easy Apply

Job Summary: To undertake Assurance activity and to provide regulatory guidance and support to the business.

Key Responsibilities:

  • Designing, coordinating and carrying out a risk based compliance monitoring plan across the Group’s UK operation.
  • Ensure Conduct Risk & Treating Customer Fairly implications are considered in promoting a culture that supports company activities. Deliver high quality risk based assurance reviews which identify and address root causes of issues arising and mitigates emerging Conduct Risk.
  • Manage review assignments to ensure that planned timescales are achieved.
  • Work collaboratively with business areas and key stakeholders to ensure that the review scope and approach is appropriate.
  • Prepare audit reports to the highest standards of clarity and substance ensuring that they meet the needs of all recipients.
  • Collaborate with the business to make recommendations for improvement that will address the root causes of issues identified and balance the regulatory risk and commercial objectives.
  • Maintain a comprehensive understanding of the regulatory requirements and standards as they affect the company.
  • Ensure the continued protection of company information, by following all applicable Information Security policies and procedures and by reporting suspected weaknesses in information security controls to the Information Security Officer.
  • Providing support to the business in overseeing and closing recommendations within the target dates agreed.
  • Ensure timely identification, analysis and communication of regulatory change and oversight of the businesses’ completion of changes required to ensure compliance with new requirements.


Candidates who are bi-lingual will have a strong advantage though not a must.

Required skills

  • Compliance
  • Compliance Monitoring
  • Insurance

Reference: 34864614

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