Compliance Manager

2 weeks ago

London Area, United Kingdom Davies Full time

The role

The candidate will support the Head of Compliance, and the compliance team to enhance, maintain and deliver the Davies Insurance Services regulatory compliance framework. This will involve oversight of the Intermediary Services’ network of Appointed Representatives. The role will also cover the oversight of the global Insurance Services entities acting as a group oversight function.


Key responsibilities

  • enhance, monitor and maintain adequate and appropriate systems and controls to ensure all Davies Insurance Services’ (DIS) regulated entities and Appointed Representatives meet their regulatory requirements.
  • manage the regulatory requirements of DIS stemming from the FCA rules relating to General Insurance and Consumer Credit Broking activities, including the embedding of the Consumer Duty.
  • oversee the compliance monitoring plan (CMP) for DIS, including each AR monitoring plan and to ensure it is managed in accordance with the company objectives. To also provide meaningful, timely MI to the Compliance and Governance Director and the other Board Directors/Risk Committee members.
  • provide advice and hold responsibility for the management of any parts of the FCA compliance plan or notification letters received from the FCA. To report progress to the Board members of the regulated company on a regular basis.
  • oversee the production of board reports for each AR and DIS compliance board meetings, Group Risk & Governance Board; review Insurer audit reports and draw recommended remedial actions to the AR.
  • analyse the risk register, produce exception reporting highlighting all red and amber risks on the dashboard to the respective regulatory Board.
  • perform risk assessments and analyse current risks and to identify any potential risks with a view to proactively support the risk owners to mitigate the risk. Performing risk evaluations working with each principal risk owner within each regulated entity with primary focus on the risks associated with the AR estate. To evaluate all previous handling of risks and comparing potential risks with the criteria set out by Risk Committee in line with regulatory and legal requirements.
  • for the Head of Compliance when required, attending meetings, being the point of contact, providing subject matter expertise.
  • a culture of learning and development, encouraging the individual team members to develop and expand their technical compliance knowledge and capabilities.
  • work closely with the Head of Compliance, Compliance team, CEO Intermediary Services, CEO Insurance Services, Finance Director, other controlled function Directors, Head of Legal, Legal Counsel, Head of Client Solutions and Head of Business Development.
  • build strong relationships with the key stakeholders, including CEO’s, Directors, and Managers of DIS’ Appointed Representatives and other clients. To work closely with the FCA, FOS, Lloyd’s of London, and other useful organisations such as MGAA and BIBA.


Key skills and experience required.

  • The candidate should have circa 5 years’ work experience and previous management experience preferably in a compliance function, within the general insurance sector.
  • level interpersonal skills – ability to build successful, mutually beneficial business relationships.
  • and People Management skills.
  • communication skills in a variety of mediums including written; presentation and oral skills.
  • and negotiation skills.
  • organisational and measuring skills.
  • detailed understanding of the FCA rules such as PRIN, ICOBS, SYSC, PROD and SUP Supervision.
  • good awareness and understanding of the Consumer Duty requirements for firms.
  • candidate should have a clear understanding of the implications of IDD, GDPR, Brexit and the importance of applying the Training and Competence requirements within DIS and across the network of ARs.
  • a sound understanding of the MGA model specifically in relation to the regulatory oversight of appointed representatives and an understanding of the outcomes from the FCA’s Thematic review (TR16/6: Principals and their appointed representatives in the general insurance sector).
  • a role model for the compliance team and supporting the Head of Compliance with the running of the team.

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