Compliance Manager, Finance & Banking

Aventum Search are partnered with a leading Insurance client who is seeking a Compliance Manager to take ownership of the day-to-day compliance and risk responsibilities.

Ensures the company’s policies and procedures are in line with regulatory and ethical standards. Ensure audits take place and make recommendations that will mitigate risk to the business due to non-compliance issues. Support the Director of Operations and Compliance in Group wide

compliance activities.

• Own KYC/KYS and due diligence reviews for new clients and suppliers
• Audit underwriting and claims files for FCA compliance, spotting trends and driving improvements
• Prepare regulatory reporting (monthly through annual) for insurers, the board, and the FCA
• Advise the business on emerging legal and regulatory risk
• Draft and maintain compliance policies, procedures, and training
• Oversee IAR/AR onboarding, financial promotions sign-off, and complaint handling
• Manage the Conflicts of Interest register, Gifts & Hospitality register, and Product Governance oversight
• Build and maintain the firm's risk framework

• 3+ years' compliance experience gained within an insurance underwriter or broker
• Strong working knowledge of MS Office (Word, Excel, PowerPoint, SharePoint, Teams)
• Excellent communication skills and a self-starter mindset
• Ability to work autonomously with strong leadership instincts

Some travel to meet stakeholders across the business may be required.