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Job Description

Our client, an independent Lloyds broker, are seeking an experienced compliance officer to join their team on a part-time basis - 3 days. This role is offering hybrid working requiring someone who is comfortable to travel into London and be in the office twice a month as a minimum.

Key Responsibilities include:

  • Policies and procedures - own the framework, making sure policies are appropriate, signed off each year and read, understood and adhered to by all.
  • Oversee regulatory reporting calendar.
  • Responsible for risk/control framework reporting
  • Oversee underwriter audits (binders)
  • Understand both UK and Irish regulatory framework as it applies to Insurance intermediaries; includes future regulations as they are rolled out
  • Oversee/prepare regulatory returns
  • Conduct file reviews to ensure standards are being met
  • Insurer TOBA review/management; own TOBA management
  • provide technical advice, guidance and solutions to the business
  • periodically deliver training to the business on conduct risk , conflicts and general FCA principle focused compliance
  • Assist with wordings
  • Day to day ad hoc advice


  • At least five years' experience working in an insurance/MGA/insurance broker compliance role.
  • Good FCA and London Market knowledge (including binders)
  • Expert knowledge of compliance to be able to lead the function for the Group
  • Knowledge of Data Protection Act, Money laundering, Client Monies, ICOBS, Complaints, QA, Money Laundering, Treating Customers Fairly (TCF) concepts, Training and Competency frameworks and requirements, Financial Ombudsman Service (FOS);
  • Ability to communicate effectively across all levels of the organisation
  • Good knowledge of the FCA rules is essential

Eames Consulting is acting as an Employment Agency in relation to this vacancy.