Compliance Manager (Insurance/Financial Services – Milton Keynes

Experienced Finance/Insurance Compliance professional with an excellent eye for detail – Part-time (3 Days per week)

Seeking an experienced finance/insurance compliance professional with an excellent eye for detail and diligent work ethic to join our team. We work as a small, but very agile team across the UK, we have larger offices in London, Milton Keynes and Chester however many of our teamwork across the UK to meet our client’s needs.

With a strong technical background of FCA, CMA, ASA, and other regulatory requirements in relation to the distribution of consumer credit / mortgage products we are seeking someone who can join on a part time basis

You will have experience of providing timely and considered advice and guidance on a range of commercial insurance and commercial financing topics including, but not limited to: ICOBS, Product Governance, Conduct Risk and Consumer Duty. Working very pragmatically with the Managing Directors and teams you will have responsibility to ensure that there is a framework in place to manage administration and adherence to the SMCR regime for reviews, updates and all aspects of training and education for the business. You will of course conduct a regular review of policy framework and implement updates to ensure compliance with the changing regulatory landscape

The role – detail of what you will be involved in:

• Develop the existing, and maintain the compliance monitoring plan, ensuring timely delivery of monitoring activities whilst adhering to regulatory and internal policies
• Ensure compliance monitoring activities are completed in accordance with the correct framework and compliance monitoring methodology
• Lead and report on investigations to meet compliance standards and on all regulatory risk
• Work with the teams and assist with all compliance queries from the team, collating complaints and maintaining full audit trails for all actions taken during the process, including
• Completing and recording file checks
• Ensuring remedial actions and repairs are put into place where needed
• Assisting with updating commercial mortgage operations procedures and any audit findings
• Research new processes and procedures and ensure compliance to all commercial mortgage and commercial insurance regulation