Quality Assurance and Compliance Manager - Swindon, Wiltshire

Ref: 358 Date Posted: Thursday 13 Aug 2020
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Job title: Quality Assurance and Compliance Manager

Location: Chippenham

Salary: DOE

My Client is currently undergoing a phase of rapid growth and are looking to recruit a Compliance manager with an immediate start.

The Financial Conduct Authority are our regulator and authorised general insurance intermediary. The firm embraces compliance culture and desires to be best in our field.

Key responsibilities include:

  • Acting as a key point of contact for compliance and conduct risk issues. Provide advice and guidance at a strategic level in the development and review of processes and procedures to ensure effective compliance in line with FCA and other regulatory requirements.
  • Assist in identifying, analysing and monitoring regulatory change that could impact the firm and its clients
  • Over view and orchestration of all policies that fall within the Compliance remit.
  • Review and maintain the current Compliance framework and ensure it is effective and provide challenge accordingly
  • Follow up on non-conformities through to resolution, including a robust escalation process for highlighting and running non-adherence via the Senior Management Team
  • Evaluate the adequacy and effectiveness of internal regulatory risk controls and recommend improvements to the business, including identification of potential risks or gaps
  • Drive a robust compliance culture across the businesses working closely with senior leadership teams
  • Link in with the Training Manager to co-ordinate compliance training and coaching across the business.
  • Manage and maintain the compliance monitoring programme plan.
  • Ensure that all regulatory and legal reports (including, but not limited to, FCA Returns) are prepared and sent on a timely basis.
  • Conduct data protection information audit and impact assessments
  • Maintain a record of all data processing activities and categories of data
  • Oversee the approach to anti-money laundering and counter terrorism financing
  • Lead on the Senior Manager and Certified Person Regime and horizon scanning for all other compliance and FCA initiatives




Qualifications/Key Skills we can’t do without:

  • Degree in Law, Economics, Finance or a relevant field or Compliance Qualification equivalent to degree level.
  • A minimum of 3 years proven experience of working in an FCA regulated environment as a Compliance Manager or similar position, preferably in General Insurance, with the ability to manage and influence business partners.
  • An excellent knowledge and understanding of relevant regulations and conduct risk management principles.
  • Self-starter: ability to take initiative and develop their own ideas and see through to completion.
  • Good Communication skills - ability to interact with senior management team to promote good behaviours throughout organisation
  • Ability to identify and investigate areas of potential regulatory risk and forward plan to mitigate potential risk.
  • Proven organisational and planning skills
  • Can do attitude and thrives on challenges.
  • An analytical mind-set with excellent organisational skills.
  • Working knowledge and understanding of Conduct Risk, TCF and experience of wider legislative and regulatory environments i.e. GDPR/DP.

Additional Skills:

Corporate Governance
Risk Identification, assessment, and Mitigation
Operational risk framework
Business Continuity


ContactCORP are acting as an employment agency with regards to this role