Compliance Officer

Location: Ely

Salary: £25,000 – £30,000

Hours: Full-time


  • Perform quality control checks and monitor and report any FCA risks that may become apparent
  • Work with the Operations Manager to produce compliance reports
  • Review, amend and implement compliance procedures and ensure procedures are up to date and contain necessary regulatory information
  • Complete the quarterly Gabriel Returns to the FCA
  • Keep up to date with and implement any regulatory and Lloyd’s changes and provide updates to the team as required
  • Ensure complaints are reported, followed up and recorded within guidelines and with correct correspondence attached
  • Liaise with the Membership Team, reporting complaints made by members and the outcome of the complaint handling
  • Provide complaints log, as prescribed by partners to report number and type of complaint as well as resolution time and any associated correspondence
  • Produce complaints report for Operations Manager and Director of Insurance for discussion at Board level
  • Undertake peer review checking of claims and disputes handling to ensure that they are handled in accordance with the established procedures, insurer and FCA requirement
  • Undertake peer review checking including monitoring telephone calls, and providing feedback to sales team, checking documentation issued to insureds
  • Cover for the absence of other team members, by providing cover for critical activities and admin tasks, as necessary
  • Undertake any other duties which reasonably fall within the remit of the role

Candidate Requirements:

  • Computer literacy (competent use of email, Word for routine and semi-routine letters; very good working knowledge of Excel; data entry)
  • Knowledge of the compliance and regulatory landscape
  • Able to develop a good understanding of the range of insurance products offered
  • Experience of working within a small organisation
  • Excellent attention to detail
  • Good customer service skills, able to deal with callers and claimants in a polite and efficient manner
  • Self-sufficient whilst recognising when to refer matters
  • Satisfies any requirements of the Financial Conduct Authority


  • Certificate in Insurance (working towards or having achieved)
  • Experience of having worked within an MGA
  • Experience of working with SMEs

If you have not received a response from me within 4 working days then unfortunately your application has been unsuccessful for this vacancy. We update our vacancies daily so please do not hesitate to apply if another vacancy catches your eye.

Neaves & Neat Employment Services Ltd. are acting as an Employment Agency for this Permanent vacancy.

Job details

Icon Pin
Cambridgeshire Ely
Icon Calendar
Permanent |
Icon Watch
Full Time
Icon Money
£25000 - £30000 per annum
Jessica Harvey-Bowman | Neaves & Neat

Want more information?

Please call Jessica Harvey-Bowman on 01353 667005 or email

Neaves & Neat Employment Services Ltd. are acting as an Employment Agency for this Permanent vacancy.