Compliance Manager

Warrington, Cheshire
£40,000 to £50,000
06 Apr 2017
06 May 2017
Contract Type
Full time, Permanent

JOB ROLE:                Compliance Manager

REPORTING TO:      Managing Director   

ROLE PURPOSE                                         

To support the compliance function for the Group of Companies, in accordance with FCA rules and other regulators with particular emphasis on Complaints and Contracts.   


  • Review current processes and procedures to ensure consistency  with FCA and other regulatory bodies, making recommendations where necessary and facilitating implementation
  • Support the company by ensuring that staff adhere to all company standards and procedures by provision of various training methods including classroom, online and providing supporting documentation
  • Due diligence of suppliers and clients
  • Gabriel reporting
  • Roll out complaints process and monitor ongoing progress
  • Control of Group Data Protection Act policies and processes
  • Identify best practice and accreditation standards
  • Manage due diligence and audits
  • Support managers and team leaders by ensuring continuous training and development of themselves and staff
  • Advise and deliver training programmes and record staff attendance
  • Review all current supplier Terms of Business and make recommendations where necessary
  • Provide framework for relevant accreditations working alongside HR and relevant managers
  • Ensure both internal and external relationships are developed and appropriate contacts are maintained
  • Keep up to date with changes to regulations and legislation as appropriate and ensure that they are effectively communicated across the organisation where relevant
  • Make positive contribution to the company business plan
  • Continually maintain a thorough knowledge and understanding of regulatory requirements for the management of the business


  • Comply at all times with the FCA’s principles and commitments
  • Ensure controls and procedures are implemented and regularly updated to maintain compliance with the regulatory and prudential requirements of all regulators
  • Work with the company to maintain competence to perform the controlled function at all times
  • To assist in instilling a compliance culture within the company
  • Be aware of and adopt any changes in regulatory practice identified and support the updating of staff when necessary
  • Provide training to staff on any regulatory changes, complaints handling and DP checks
  • Prioritise and organise own workload to ensure that deadlines are adhered to
  • Liaise with colleagues working cohesively and collaboratively
  • Report any significant failures to comply with requirements or suspected rule breaches immediately to managers


  • Ensure that compliance systems and procedures are followed at all times.
  • Respond promptly to client queries and ensure that all communications with customers and/or insurers, or other relevant business contacts are accurately recorded (in writing), in accordance with the procedures manual
  • Manage and maintain own files
  • Deal with telephone enquiries promptly referring the query appropriately if the enquiry falls outside own knowledge and experience


  • To be familiar with the fundamentals of Insurance and its legal context and the Insurance market place
  • To have knowledge of all relevant regulatory requirements including Anti Money Laundering legislation, Data Protection and FCA requirements.
  • All files set up and records held in accordance with FCA and companies standards and procedures
  • All in-house timescales must be adhered to
  • All correct forms and paperwork completed in accordance with procedures and delivered on time
  • All files set up and records held in accordance with FCA and company standards and procedures
  • All paperwork completed in accordance with the company’s internal procedures
  • All systems and records to be entered accurately and within set timescales


Lawshield is an equal opportunities employer and all candidates are welcome to apply.

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