Compliance Officer

Location Leeds
Discipline: Insurance
Job type: Permanent
Salary: £30000.00 - £35000.00 per annum
Contact name: James Lloyd

Job ref: 11119
Published: about 1 month ago
Startdate: ASAP

SALARY UP TO £35,000


Join an exciting insurance brokerage based near Leeds. This is a growing team in a growing brokerage looking for ambitious compliance professional looking to progress within a friendly culture. If you come from a Compliance Background within the Financial Services or Insurance industry this could be just the role for you.

Other relevant Job titles could include: Administrator, Risk Analyst, Compliance Administration, Risk Admin Support


  • Salary up to £35,000 dependant on experience
  • Hybrid working Structure- 3 days in the office/2 at home
  • 25 days Holiday
  • Many other exciting benefits


  • Assist with the provision of consistent and reliable Compliance advice to the business on a broad range of regulatory matters and to explain the impact of any changes.
  • Assist with the identification and assessment of the compliance risks applicable to the business.
  • Support and maintain the risk registers for the business.
  • Producing sanction checks reports
  • Ensure that all complaints are dealt with appropriately.
  • Assist with queries relating to GDPR.
  • Assist as directed in dealing with licensing and regulatory issues, including liaison with the internal and external parties where necessary.
  • Ensure that any matters which arise from internal or external reviews or monitoring visits are followed up and the actions tracked and resolved appropriately.
  • Provide support and guidance to the business in understanding its responsibilities and obligations under relevant policies (e.g. Anti-Bribery & Corruption, Conflicts of interest, Financial Crime, Gifts (Conflicts of Interest), Complaints, etc. respond to queries on the interpretation of relevant compliance policies.
  • Maintain branch procedures manual
  • Maintaining all compliance registers e.g. Advertising / TOBAs/ Sanctions / Complaints / Conflict Management / Gifts and Hospitality / Breaches, etc.
  • Producing TCF reports (Treating Customers Fairly)
  • Annual staff competence administration
  • Conduct file reviews for sales members of staff
  • Ensure all checks weekly/ monthly / etc. have been conducted such as; fee checks, sign-offs, training, etc.
  • Ensuring the organisation is compliant with all new FCA appropriate regulations;
  • And any other tasks required to be undertaken to support the compliance department


  • Shown experience in compliance advisory, compliance testing or other risk control functions in the financial services industry, preferably in insurance industry
  • Excellent communication skills
  • Project management experience is desired
  • Strong social and coordination skills and able to engage and work effectively with colleagues across all departments
  • Self-motivated, independent, go-setter learner
  • Flexible and adaptable to dynamic, changing work processes and environment
  • Attention to details and effective time management skills
  • Strong analytical skills and the ability to run several simultaneous tasks
  • Conceptual strength, solution oriented, and a good sense for feasibility and pragmatism

We are currently shortlisting for interview so if you have experience within Compliance in the Insurance industry, apply today!!

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