Compliance Manager

Application Deadline: 5 June 2026

Department: Compliance

Employment Type: Permanent - Full Time

Location: London UK

Description

Key Responsibilities

• To enhance, monitor and maintain adequate and appropriate systems and controls to ensure all Davies Insurance Solutions’ (DIS) regulated entities and Appointed Representatives meet their regulatory requirements.
• To manage the regulatory requirements of DIS stemming from the FCA rules relating to General Insurance and Consumer Credit Broking activities, including the embedding of the Consumer Duty.
• To oversee the compliance monitoring plan (CMP) for DIS, including each AR monitoring plan and to ensure it is managed in accordance with the company objectives. To also provide meaningful, timely MI to the Compliance and Governance Director and the other Board Directors/Risk Committee members.
• To oversee a portfolio of Appointed Representative firms MGAs / Brokers providing robust ongoing monitoring and oversight to ensure they are compliant with the requirements of the regulatory framework. 
• To provide advice and hold responsibility for the management of any parts of the FCA compliance plan or notification letters received from the FCA. To report progress to the Board members of the regulated company on a regular basis.
• To oversee the production of board reports for each AR and DIS compliance board meetings, Group Risk & Governance Board; review Insurer audit reports and draw recommended remedial actions to the AR.
• Deputise for the Head of Compliance when required, attending meetings, being the point of contact, providing subject matter expertise.
• Lead a culture of learning and development, encouraging the individual team members to develop and expand their technical compliance knowledge and capabilities.
• To work closely with the Head of Compliance, the Compliance team, CEO Intermediary Services, CEO Insurance Services, other controlled function Directors, Head of Legal, Head of Client Solutions and Head of Business Development.
• To build strong relationships with the key stakeholders, including CEO’s, Directors, and Managers of DIS’ Appointed Representatives and other clients. To work closely with the FCA, FOS, Lloyd’s of London, and other useful organisations such as MGAA and BIBA.

Skills, Knowledge & Expertise

• The candidate should have circa 5 years’ work experience and previous management experience preferably in a compliance function, within the general insurance sector.
• High level interpersonal skills – ability to build successful, mutually beneficial business relationships.
• Leadership and People Management skills.
• Strong communication skills in a variety of mediums including written; presentation and oral skills.
• Influencing and negotiation skills.
• Planning, organisational and measuring skills.
• A detailed understanding of the FCA rules such as PRIN, ICOBS, SYSC, PROD and SUP Supervision.
• A good awareness and understanding of the Consumer Duty requirements for firms.
• The candidate should have a clear understanding of the implications of IDD, GDPR, Brexit and the importance of applying the Training and Competence requirements within DIS and across the network of ARs.
• Have a sound understanding of the MGA model, as well as broker incubation solutions, including specifically in relation to the regulatory oversight of appointed representatives and an understanding of the outcomes from the FCA’s Thematic review (TR16/6: Principals and their appointed representatives in the general insurance sector).
• Being a role model for the compliance team and supporting the Head of Compliance and other Compliance Managers with the running of the team.

Job Benefits

• Reward platform – discounts for over 800 retailers
• 25 days holiday (rising with service)
• Well-being centre
• Recognition programme
• Family friendly employer
• Pension - company contribution at 10%
• Life Assurance (10 x basic salary)
• Private medical with an annual health check
• Development, training, and professional qualification
• Employee volunteering programme