Senior Compliance Executive

Overview

In this role you ensure regulatory adherence within a growing commercial broking operation. You will monitor compliance activities, support policy development, and promote a strong compliance culture across the business. You’ll work with cross‑functional teams to interpret regulatory changes and implement actions, contributing to a risk-aware, compliant operating environment. This is a hands-on, impact‑driven position with flexible‑working options.

Pay / Benefits

• flexible working options

Responsibilities

• Track compliance actions as part of the annual plan and report progress
• Build and maintain relationships across the business to support a positive compliance culture
• Develop or improve policies, procedures and processes to meet regulatory requirements
• Conduct regulatory horizon scanning and impact assessments
• Maintain the compliance training system and monitor staff completion
• Communicate regulatory information clearly and oversee resulting actions
• Track and monitor compliance performance
• Maintain knowledge of regulation and good market practice and report material changes
• Ensure compliance with applicable UK or international regulatory obligations

Key requirements

• Previous experience in a compliance role for a Commercial Broker, Insurer or Managing Agent
• Strong regulatory and market awareness
• Understanding of FCA Rules and complaint handling processes
• Strong communication skills
• Confident in knowledge and expertise
• Strong numerical and analytical skills
• Resourceful with ability to apply initiative
• Strong planning and organizational skills with attention to detail
• Proactive and personable approach

• Strong communication
• Proactive problem-solving
• Detail-oriented
• Regulatory monitoring
• Compliance training management
• Horizon scanning

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