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COMPLIANCE MANAGER (PT)

Location:

Finchley

Salary:

£35,000 - £40,000

Contract:

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Role Summary:

We are seeking a proactive and detail-oriented Compliance Manager to support and strengthen our regulatory and compliance framework. This role is initially structured as a part-time position (three days per week) , with potential for full-time depending on the candidate’s preferences and experience. You will play a critical role in ensuring our firm meets all FCA and regulatory obligations, as well as supporting policy development, audits, reporting, and Consumer Duty compliance across the business.

Responsibilities:

Compliance Framework

  • Review and update compliance policies using templates.

  • Update SMCR roles and responsibilities, Regulatory Business Plan, and Business Continuity Plan (BCP).

  • Create and maintain a version control log with document hyperlinks.

  • Develop and implement an annual compliance monitoring plan.

  • Conduct internal checks and audits for policy adherence.

  • Perform second-line checks on manager file reviews.

  • Report findings and recommend procedural or policy improvements.

FCA Reporting & Authorisations

  • Support colleagues with FCA applications and processes.

  • Maintain a compliance diary for FCA reporting deadlines.

  • Assist in the preparation and submission of FCA reports.

Meetings & Governance

  • Attend monthly Manager/Director meetings.

  • Present Consumer Duty Board Pack and compliance findings.

  • Provide updates on regulatory changes and discuss implications.

  • Recommend adjustments to scripts, procedures, or internal documents.

Consumer Duty Compliance

  • Maintain and update the monthly Consumer Duty Board Pack.

  • Report on NTUs, cancellations within 14 days, retention, and vulnerable customers.

  • Track and present Management Information (MI) including:

  • File check quality

  • Staff training and competency hours

  • Complaints (Insurer and Broker)

  • GDPR breaches

  • Claims not paid

  • Financial difficulty and vulnerability metrics

  • Produce an Annual Consumer Duty Board Report with recommendations.

Product Governance & Fair Value

  • Collect and complete insurer Fair Value and Product Governance questionnaires.

  • Maintain compliance documentation related to product governance.

Third-Party Supplier Oversight

  • Perform due diligence on new brokers, suppliers, and agencies.

  • Respond to insurer due diligence requests.

  • Keep the TOBA register up to date.

Regulatory Awareness & Development

  • Attend compliance webinars hosted by Hedron and FCA.

  • Monitor FCA, ICO, and FOS updates for regulatory changes (horizon scanning).

  • Attend insurer audits and respond to audit requests as needed.

The Candidate:

  • Experience in a regulated insurance or financial services environment

  • Strong knowledge of FCA regulations, SMCR, and Consumer Duty

  • Excellent organisation and document control skills

  • Effective communicator with strong attention to detail

  • Experience designing or managing compliance frameworks

The Offer:

£35,000 - £40,000 per annum pro rata

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