About the role
We are looking for a Compliance Business Partner to join our Risk and Compliance function here at Superscript.
You will play a key role in supporting the business to maintain strong regulatory standards while enabling sustainable commercial growth. You will work closely with senior stakeholders across broking, underwriting, partnerships, product, and operations, providing clear, pragmatic regulatory advice and ensuring that compliance frameworks are effectively embedded across the organisation.
Reporting directly into the Fractional Compliance Leader, this role is suited to someone with between 3-6 years’ experience in a compliance, risk, or regulatory role within a regulated financial services environment, ideally within an insurance broker.
This is a hands‑on second line role, requiring strong technical knowledge of Financial Conduct Authority requirements and the ability to influence and partner with the business in a fast‑paced, digital insurance environment.
What you’ll get up to:
- Act as a trusted compliance advisor to business units, providing clear and practical guidance on regulatory obligations and best practice.
- Build strong working relationships with underwriting, partnerships, product, and claims teams to support compliant decision-making.
- Provide independent challenge on:
- Product governance and fair value assessments
- Distribution arrangements, including agency approvals and partner due diligence
- Customer journeys, communications, and customer outcome
- Monitor regulatory developments (e.g. FCA publications, thematic reviews, enforcement activity) and assess their impact on the business.
- Interpret and advise on FCA rules and guidance, including ICOBS, SYSC, and Consumer Duty.
- Conduct gap analysis against new or evolving regulatory requirements.
- Provide second line oversight and challenge on the implementation of regulatory change across the business.
- Support the development, implementation, and ongoing enhancement of compliance frameworks, policies, and procedures.
- Own and coordinate the review and update of compliance policies, ensuring appropriate governance, version control, and approval processes are followed.
- Oversee the documentation of key compliance processes and controls.
- Support the design and execution of a risk‑based Compliance Monitoring Plan (CMP).
- Conduct thematic reviews and control testing across key regulatory areas, including financial promotions, product governance, vulnerable customers, and distribution.
- Track and validate remediation actions to ensure issues are effectively addressed.
- Maintain oversight of financial promotions approval processes, and agency and Appointed Representative frameworks.
- Support with breach identification, escalation, and remediation, as well as complaints and conduct risk outputs, including root cause analysis.
- Support the delivery and ongoing embedding of key regulatory initiatives, including Consumer Duty, fair value assessment, and conduct risk frameworks.
- Ensure regulatory expectations are reflected in day‑to‑day business activities and decision-making.
- Support regulatory reporting and submissions, including FCA returns and SUP 15 notifications.
- Prepare and review compliance Management Information for governance forums, including the Risk & Compliance Committee and Conduct Risk Committee.
- Support the production of Consumer Duty Board reporting.
- Escalate material regulatory risks and issues to senior management and governance forums where appropriate.
About you:
- 3-6 years’ experience in a compliance, risk, or regulatory role within an FCA-regulated financial services environment.
- Experience working for an insurance broker is essential.
- Strong understanding of FCA regulatory requirements, including consumer duty, conduct risk principles, ICOBS and SYSC
- Experience supporting governance structures, regulatory reporting, and compliance frameworks.
- Experience in compliance monitoring, thematic reviews, and oversight activities.
- Ability to interpret regulation and translate it into practical, business-focused guidance.
- Strong stakeholder management and communication skills.
In return, we offer you:
- A competitive salary and the ability to grow your career
- 25 days holiday - so there’s plenty of time for work, rest and play
- Hybrid way of working for the perfect work / life balance
- Vitality private health and dental insurance
- Added benefits including competitive pension and salary sacrifice
- Access to financial wellbeing platform Mintago
- Full access to Spill, our mental health platform
- Cycle to work scheme
- Fun and modern office environment with regular team social events
- City ofLondon location
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