Risk and Regulatory Compliance Lead

2 days ago

Bath, Bath and North East Somerset, United Kingdom Brown & Brown Europe Full time

Position: Risk and Regulatory Compliance Lead

Location: Somerton or other Higos office locations

Salary: £58,000 + performance-related bonuses and a comprehensive benefits package

About the Role:

We are seeking a highly skilled Risk and Regulatory Compliance Lead to join our successful broking team in Somerton or another Higos office location. As a key member of our leadership team, you will assist the Managing Director and leadership team in ensuring compliance with regulatory requirements and group policies.

This role requires a strong understanding of key regulatory requirements, including ICOBs, DISP, and GDPR. You will lead the implementation of revised or new risk and compliance processes to ensure fair customer outcomes and regulatory compliance, working closely with Group Risk and Compliance.

Responsibilities:

  • Liaise with Group Risk and Compliance to build effective working relationships.
  • Act as a contact point for day-to-day risk and compliance matters and queries arising from all Higos offices.
  • Assist the MD and Leadership team in implementing and executing policies and procedures.
  • Lead the implementation of revised or new risk and compliance processes to ensure fair customer outcomes and regulatory compliance.
  • Coordinate the quarterly Management review of the risk and control registers and completion of quarterly conduct risk MI for submission.
  • Ensure an appropriate file review process is in place using the File Checker System to demonstrate compliance with key regulatory standards.
  • Manage, investigate, and resolve customer complaints giving due consideration to fair customer outcomes, regulatory, and business requirements.
  • Coordinate regular Management reviews of the conflicts of interest register ensuring actions are in place to mitigate potential conflicts.
  • Identify, report, and escalate regulatory breaches, loss events, and systemic issues ensuring suitable remedial and preventive actions are implemented.
  • Review customer-facing documentation and communication to ensure content is clear, fair, not misleading, and supports good customer outcomes.
  • Maintain the complaints register and undertake root cause analysis and identify training needs and areas for improvement.
  • Coordinate the collation of information for Higos regulatory submissions.
  • Liaise with external parties as required to facilitate audits.
  • Maintain the Insurer Terms of Business Register coordinating new agency applications and agreements.
  • Ensure all Data Subject Access Requests (DSAR) are responded to appropriately and in accordance with required timescales.
  • Maintain the Gifts and Hospitality log.
  • Initial investigation of sanctions matches eliminate non-matches.
  • Lead the maintenance of the CII Chartered status and professional qualifications administration.
  • As and when required, undertake projects and/or provide specialist input into wider business initiatives.
  • Prepare monthly management reports and attend management meetings as requested.

Benefits:

  • Negotiable salary + bonuses.
  • A wide range of additional addon benefits and discounts (Pension, DIS, Holiday etc).
  • CII Membership and CII Studies / exams paid.
  • Free parking (Somerton office).

Your Experience:

  • Demonstrable track record operating in a FCA regulated business providing or distributing products to commercial customers or consumers ideally general insurance.
  • Working knowledge of key regulatory requirements including ICOBs, DISP, GDPR.
  • Strong inter-personal and leadership skills.
  • Effective communicator with ability to articulate requirements to a range of audiences including customers, operational staff, and senior management.
  • Self-starter, uses initiative, and able to operate independently.
  • Attention to detail, excellent investigation, and analytical skills.
  • Customer-focused individual.
  • Competent user of Microsoft Applications.

  • Regulatory Compliance Expert

    3 weeks ago

    Bath, Bath and North East Somerset, United Kingdom Cathedral Appointments | South West Recruitment Full time

    Regulatory Compliance Role DescriptionAbout Cathedral Appointments | South West RecruitmentAs a leading player in the Financial Services industry, Cathedral Appointments | South West Recruitment is dedicated to fostering a culture of integrity and excellence.This exciting opportunity for a Compliance Officer allows the successful candidate to utilise their...

  • Regulatory Compliance Specialist

    2 weeks ago

    Bath, Bath and North East Somerset, United Kingdom Cathedral Appointments | South West Recruitment Full time

    Job Title: Regulatory Compliance SpecialistLocation: Somerset / South DevonSalary: £40,000 - £50,000 per annum (dependent on experience)Cathedral Appointments | South West Recruitment is working with a prestigious and forward-thinking Financial Services firm to find a talented Regulatory Compliance Specialist. This exciting role offers the flexibility of...

  • Regulatory Compliance Manager

    2 days ago

    Bath, Bath and North East Somerset, United Kingdom Brown & Brown Europe Full time

    About the RoleWe are seeking an experienced Regulatory Compliance Manager to join our team at Brown & Brown Europe. This is a fantastic opportunity to work in a dynamic environment, utilizing your knowledge of regulatory requirements to ensure compliance across all Higos offices.The ideal candidate will have a proven track record in a FCA regulated business,...

  • Compliance Risk Manager

    2 weeks ago

    Bath, Bath and North East Somerset, United Kingdom Cathedral Appointments | South West Recruitment Full time

    Job Overview: We are seeking a highly skilled Compliance Risk Manager to join our client's team in Somerset/South Devon. This is a fantastic opportunity for someone with a passion for regulatory compliance and risk management to take their career to the next level.The successful candidate will have a minimum of 3 years' experience in compliance within...

  • Compliance Risk Manager

    3 weeks ago

    Bath, Bath and North East Somerset, United Kingdom Wessex Water Services Full time

    Job DescriptionWe are seeking a highly skilled Compliance Risk Manager to join our team at Wessex Water Services. The ideal candidate will have extensive experience in the water, oil and gas or other process industry, operating under COMAH regulations. You will be responsible for ensuring compliance with DSEAR and ATEX regulations, as well as developing...

  • Risk and Compliance Specialist

    3 weeks ago

    Bath, Bath and North East Somerset, United Kingdom Stone King Full time

    At Stone King, we are committed to creating an inclusive working environment where individuals feel supported and valued. We are seeking an Risk and Compliance Specialist to join our team in Bath, who shares our passion for delivering high-quality services and promoting a culture of compliance.The successful candidate will be responsible for ensuring...

  • Regulatory Compliance Expert

    1 day ago

    Bath, Bath and North East Somerset, United Kingdom Fusion People Ltd Full time

    Job Title:Regulatory Compliance ExpertFusion People Ltd is seeking a highly skilled Regulatory Compliance Expert to work in Somerset. This role will involve supporting the Quality Manager in ensuring that Project Quality Assurance requirements are understood and implemented.The successful candidate will assist in capturing changes to Quality requirements,...

  • Regulatory Compliance Expert

    2 days ago

    Bath, Bath and North East Somerset, United Kingdom M&G Full time

    Key ResponsibilitiesThe Regulatory Compliance Expert will be responsible for driving complaints handling performance, managing quality assurance, and supporting complaint review processes.This is an exceptional opportunity for a highly motivated individual to make a real impact in a dynamic and supportive environment.

  • Compliance and Risk Manager

    1 month ago

    Bath, Bath and North East Somerset, United Kingdom Novia Financial plc Full time

    About the RoleNovia Financial plc is seeking an experienced Compliance and Risk Manager to lead our data protection efforts. This is a challenging and rewarding opportunity for a qualified professional to make a significant impact on our organization's risk profile.Key Responsibilities:Oversee the completion of Data Protection Impact Assessments (DPIAs) and...

  • Water Resource Compliance Specialist

    1 week ago

    Bath, Bath and North East Somerset, United Kingdom YTL UK Full time

    Job SummaryAre you passionate about advancing your career in the environment and water industry? We are seeking a skilled professional to lead our Tactical Water Resources team on Wessex Water's abstraction licence regulatory obligations and reputation.About the RoleThis is an exciting opportunity to influence the mitigation of risks to compliance and...

  • Regulatory Compliance Manager

    1 day ago

    Bath, Bath and North East Somerset, United Kingdom Access Talent Group Full time

    Job DescriptionWe are seeking a Regulatory Compliance Manager to join our team in Bath, responsible for ensuring compliance with Building Regulations.As a key member of the team, you will be responsible for plan appraisal, statutory consultations, and site inspections, developing existing client relationships and contributing to the company's growth and...

  • Insurance Operations Compliance Manager

    2 days ago

    Bath, Bath and North East Somerset, United Kingdom Brown & Brown Europe Full time

    Position: Insurance Operations Compliance ManagerLocation: South West Region, UK (Somerton or other Higos office locations)Salary: £55,000 + performance-related bonuses and benefits packageJob Overview:Brown & Brown Europe is seeking a highly skilled Insurance Operations Compliance Manager to join its successful broking team in Somerton or another Higos...

  • Regulatory Affairs Manager

    3 weeks ago

    Bath, Bath and North East Somerset, United Kingdom Cathedral Appointments | South West Recruitment Full time

    Regulatory Compliance RoleCathedral Appointments | South West Recruitment's client, a prestigious Financial Services firm based in Somerset or South Devon, is seeking a skilled Regulatory Compliance Officer to join their team.This role offers a competitive salary range of £35,000 - £45,000 DOE and a hybrid working model providing flexibility.Key...

  • Compliance and Quality Lead

    2 weeks ago

    Bath, Bath and North East Somerset, United Kingdom Manucomm Recruitment Full time

    Job Overview:We are seeking a Compliance and Quality Lead to join our client's team in Wells, Somerset. The successful candidate will be responsible for ensuring that all products meet exceptional quality standards and comply with regulatory requirements.The ideal candidate will have experience working in the food or drinks manufacturing industry, a strong...

  • Regulatory Compliance Specialist

    2 weeks ago

    Bath, Bath and North East Somerset, United Kingdom Cathedral Appointments | South West Recruitment Full time

    The role of Compliance Officer at Cathedral Appointments | South West Recruitment presents an excellent opportunity to join a prestigious Financial Services firm in Somerset or South Devon. This position offers a hybrid working model, with 4 days spent in the office and 1 day working from home.Key Responsibilities:Maintain and improve policies and procedures...

  • Environmental Regulation Compliance Expert

    2 weeks ago

    Bath, Bath and North East Somerset, United Kingdom Wessex Water Full time

    About UsWe are one of the leading water and sewerage companies in England and Wales.Our mission is to provide an essential public service while having a positive impact on the communities we serve and the natural environment.Job Title: Environmental Regulation Compliance ExpertThis is an exciting opportunity to join our team as an Environmental Regulation...

  • Risk Management Specialist

    3 weeks ago

    Bath, Bath and North East Somerset, United Kingdom Allen & York Full time

    We're seeking a skilled Risk Management Specialist to lead our efforts in identifying and mitigating potential risks across our operations.This role involves assessing risks, developing strategies to mitigate them, and implementing procedures to ensure compliance with regulatory requirements. The ideal candidate will have experience working with management...

  • Compliance and Conduct Specialist

    2 days ago

    Bath, Bath and North East Somerset, United Kingdom Brown & Brown Europe Full time

    Position: Compliance and Conduct Specialist - Higos Insurance ServicesLocation: Somerton or other Higos office locationsSalary: £52,500 + performance-related bonuses and a comprehensive benefits packageAbout Us:Higos Insurance Services, part of Brown & Brown Europe, is a leading presence in the insurance market with a strong reputation for service and a...

  • Compliance Assurance Expert

    3 weeks ago

    Bath, Bath and North East Somerset, United Kingdom CV-Library Full time

    As a Compliance Assurance Expert at CV-Library, you will be responsible for helping to build and maintain our clients' assurance teams.You will work closely with the Head of Compliance to plan and deliver regulatory compliance monitoring within their clients' plans. This will involve performing wider assurance activities to support the Chief Risk Officer and...

  • Trust Compliance Professional Opportunity

    3 weeks ago

    Bath, Bath and North East Somerset, United Kingdom CV-Library Full time

    Risk Assessment Compliance Officer PositionSalary: Estimated £25,000 per yearAs a Risk Assessment Compliance Officer at Arcadia Trust Group, you will play a crucial role in ensuring our company remains compliant with regulatory requirements.You will collect and verify client identification documents, perform thorough compliance checks, and maintain accurate...