Job Overview

Conduct and Regulatory Compliance Manager

Location: City of London, London Salary: £70000 - £90000 per annum
Type: Permanent Contact: Tara Robinson
Posted: 6 days ago

This global insurance provider is looking to appoint a conduct and regulatory specialist to provide support and guidance to their Personal Lines and Commercial Insurance functions. This is a broad role which includes coverage across conduct, product governance, financial promotions, delegated authority, and regulatory projects.

Key Responsibilities include:

  • Provision of high-quality advice and guidance to all lines of business (Line1) (e.g. Product teams, marketing, Delegated, etc.)
  • Analysing changes against an agreed framework to understand whether those changes are acceptable
  • Providing formal approval for changes at key points in processes (including final sign-off, where relevant) - for example, websites, financial promotions, customer documentation, pricing changes, Customer Impact Assessments and so on
  • Ensuring relevant decisions / precedents / actions are logged and support reporting
  • Building strong relationships with stakeholders within Personal Lines (Line 1)
  • Providing leadership, focus and direction to Regulatory Compliance Analysts
  • Working closely with other Customer and Operational Risk Management team members in relation Conduct Framework oversight, Regulatory Business Readiness, Risk and Control and Incident Management
  • Liaising with other relevant functions to identify efficiency opportunities and share best practice in relation to regulatory compliance (including approvals)
  • Engaging with, and escalating to, Line 2 (Risk and Regulatory Compliance) for technical advice, as appropriate
  • Supporting continuous improvement of the regulatory compliance function and associated governance, processes and tools
  • Understanding our Product Governance and Conduct Framework, how it applies to this role, and the behaviours / actions that you need to demonstrate in consistently delivering good customer outcomes
  • Acting as a conduct and regulatory subject matter expert and first port of call for Line 1
  • Providing regulatory training to CORM and the wider business
  • Supporting the business embed relevant regulatory change.


Knowledge & Experience required:

  • In depth exposure to Senior Management and providing advice and guidance to Compliance/Governance Committees.
  • You will be considered a subject matter expert in your field
  • Experience of risk management within a large, regulated business
  • Experience of providing pragmatic and practical General Insurance regulatory compliance advice and guidance to the business (Line 1) to support decision making
  • Previous track record of working in a fast paced organisation, balancing customer and business (i.e. commercial) needs and objectives
  • Deep understanding of General insurance regulations including, but not limited, to Conduct Risk, ICOBS, Delegated Authority, PROD4 and financial promotions
  • Good understanding of General insurance market, operations (e.g. Post-sales servicing, Customer Communications, Claims / Complaints, etc.) and activities (e.g. Quote and buy, Renewals, etc.)
  • Strong communicator and comfortable with providing real-time regulatory advice and guidance face to face, and in wider meeting settings
  • Customer focused, attune to the potential impact of changes (product or non-product) with a strong understanding of the risks of customer harm / detriment (financial and non-financial)
  • Commercial, numerical and analytical skills
  • Strong influencing skills and experience of building positive stakeholder relationships at all levels of the organisation both internally and externally
  • Experience of process improvement

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