Head of Compliance

England, Essex
04 Sep 2018
18 Sep 2018
James Dwyer
Department Head
Risk / Compliance, Strategy
Contract Type

A well established insurance business is looking for a person with the right drive to join this thriving business as their number one in compliance. The right person will be responsible for over seeing the compliance department which is a team consisting of 8, as well as being ahead of the curve on all new regulations introduced and communicating this to the company. An Aptitude to learn, as well as being commercial and personable.

Job Purpose:

  • To promote a compliant culture, to monitor and measure compliance and conduct in relation to legislation, regulation and operational policy across the group
  • To provide subject matter expertise and informed opinion
  • To direct and manage the strategic approach relating to the AP Appointed Representative network and iComply Online Limited
  • To direct and support training & development strategy and initiatives


  • Offers information and opinion on current and landscape regulatory matters
  • Manage and develop the internal AP Compliance Department and iComply Online field team and to ensure a consistently high level of expertise is demonstrated and the supporting the network
  • Liaison with the Regulator, Insurers, Auditors and other 3rd party engagement with specific transparency requirement
  • Liaison with AP Executive Committee members and senior management and the development of compliance MI from relevant departments
  • Assist customers with Compliance requirements in line with agreed service standards
  • Apply mitigation measures to influence and manage the conflict of interest between sales activities and positive customer outcomes
  • Provide a point of contact for compliance related queries to internal and external customers
  • Design and implement control measures to manage compliant activity
  • Management and control of departmental budgets
  • Management of departmental staffing and resource
  • Support the Risk Committee with identification and reporting of regulated risk
  • Prepare reports for management giving independent and objective assurance on adherence to regulatory standards and on the effectiveness of controls in place
  • To provide strategic leadership and support to ensure the delivery of key outcomes from the Training & Development Manager demonstrating awareness, approachability, proactivity and passion
  • Other reasonable duties as required

Skills & Competencies:

  • Time and Territory management
  • Leadership & Influence
  • Integrity & resilience
  • Risk awareness
  • Effective communication
  • Strategic thinking
  • Commercial awareness

Knowledge & Experience:




Solid understanding of:

  • Regulatory Compliance for General Insurance and Consumer Credit activities
  • Microsoft Office (Word, Excel, PowerPoint)
  • Automotive dealership sales processes and compliance requirements
  • the practical and technical requirements of the FCA, ICO and any other relevant regulatory and trade bodies

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