Search Jobs

Job Specification


£60K + Bonus & Benefits | Kent
Ref: 3786D

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


We are exclusively recruiting for a small financial service organization, dual regulated under the Prudential Regulation Authority and the Financial Conduct Authority as an insurance company and with very few staff & relatively few clients. 

After a growth in Assets, it now wishes to strengthen its Management Team by the addition of a Manager who will be responsible both for the general operational matters in the firm and compliance with regulatory standards of the PRA and FCA, as well as other regulatory matters. In an interesting & varied role with one assistant, duties include; 

  • Holdiing SMF16 and SMF17. 
  • Setting and maintaining Compliance Standards 
  • Establish a rolling Annual Compliance Plan to monitor how well compliance standards are being delivered and on a monthly basis monitor that “daily compliance activities” are properly controlled 
  • Reporting and Record Keeping 
  • Delivery of reports to the Board and its Sub Committees evidencing that the Systems and Controls in the business are functioning appropriately. 
  • Maintenance and testing of the Disaster Recovery and Business Continuity Plans. 
  • Maintain close working relationships with professional services external advisers such as the internal auditors, the compliance consultancy, legal advisers and the actuarial services provider. 
  • Maintain close working relationships with facilities providers such as Information Technology providers, Telephony providers and Property Services providers. 

You should have a good knowledge of the rules of the PRA and FCA as applicable to insurance business and some understanding of Financial Crime regulation and Data Protection (although you will have the services of a retained specialist Compliance Consultancy as back up, whilst client risk profiles are very low and transaction numbers relatively small). You should also be comfortable with overseeing the outsourced operational & administrative activity providers.   

NB Above salary pro rata to number of days worked, whilst it is likely that at least one day per week you would be expected to be in the office. 

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at (including a contact no) however please note due to COVID-19 we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission). 


Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge. 

Hot Jobs