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Compliance Analyst

Broadgate Search
Closing date
23 Feb 2021

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Contract Type
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Job Details

Broadgate Search have been exclusively instructed to recruit a Compliance Analyst for a growing London based insurance broker. The ideal candidate will have experience working for an Insurance Broker in a Compliance position.

***Applicants without this experience will not be considered.***

Role Purpose

To ensure the best interests of our customers are met and regulatory requirements are satisfied by promoting a culture of continual improvement in the quality of the customer experience and those of its Appointed Representatives.

Key Responsibilities

  • Conduct due diligence on new producing brokers using REG and/or market available information, arrange agreements and monitor activity.
  • Review and update of Standing Data and draft FCA Connect submissions.
  • Implement and embed appropriate Policies and Procedures to guide and inform the way we work and promote the right behaviours.
  • Preparation and drafting of MI for Compliance Reports.
  • Work in partnership with the Business in monitoring and responding to relevant KPIs, new developments - internal or external.
  • Provide proactive support and constructive advice on compliance and related matters and be seen as a 'Trusted Advisor'
  • Collate and prepare relevant sections of RMAR submissions.
  • Review and arrange sign off for new and replacement insurer agreements. Maintain TOBA register and sample check entries.
  • Collate and prepare information requests from markets and other parties for audits, reviews and approvals.
  • Monitor security of approved markets and of unrated providers, escalating matters of concern.

Experience & Knowledge

  • Strong regulatory compliance experience in an Insurance Broker.
  • Strong knowledge and understanding of REG and TOBA.
  • Stakeholder management
  • Ability to work on own initiative and demonstrate initiative, adaptability and flexibility.
  • Good computer and literacy skills.

For more information, please email
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