Compliance Manager – Regulated Distribution

The Compliance Manager (Regulated Distribution) is a key role within the compliance function, responsible for ensuring adherence to financial services regulations with a specific focus on our insurance and appointed representative networks. This position involves supporting the compliance framework, monitoring regulatory changes, and fostering a strong compliance culture across our distribution channels. The ideal candidate will have hands‑on experience with FCA regulations, insurance products, and the appointed representative model.

Main Responsibilities

• Support the development and implementation of the group’s compliance strategy, ensuring adherence to relevant laws and regulations for insurance distribution.
• Assist with regulatory reporting and liaise with the FCA on matters related to insurance and appointed representatives.
• Monitor and assess emerging regulatory risks affecting the insurance distribution landscape and advise management accordingly.
• Help ensure compliance with the Senior Managers and Certification Regime (SM&CR).
• Contribute to the development of compliance policies, procedures, and risk management processes.
• Conduct quality assurance and oversight on activities within the appointed representative network.
• Perform risk assessments to identify compliance risks for new and existing business initiatives in the distribution space.
• Provide horizon scanning for upcoming regulations that may impact the firm’s distribution activities.
• Prepare regular reports for management on regulatory activities and the effectiveness of the compliance function.

Required Experience & Qualifications

• Proven experience in a compliance role within a directly authorised FSMA firm.
• Direct experience working with insurance products and the appointed representative model is essential.
• Strong knowledge of FCA regulations (e.g., SYSC, COBS, ICOBS).
• Robust and demonstrable understanding of CASS 5 as it applies to insurance intermediaries, and AR models.
• FCA engagement, including responding to RFIs, and coordinating with internal functions (Finance, Operations) to collate accurate answers to enquiries.
• Process mapping (including using tooling such as Miro/Visio) for compliance and operational processes.
• Risk identification, control documentation and creation of remedial action plans and timelines – working with different departments in a business to ensure completion of identified issues.
• Experience with identification of consumer duty metrics, and collation and analysis of this MI, producing reporting for Board and Exco.
• Experience in implementing compliance frameworks and policies.
• A proactive, hands‑on approach with the ability to work independently.
• Excellent communication skills, with the ability to provide clear and concise guidance.
• Professional qualifications in compliance are advantageous.
• Highly adaptable and motivated to succeed in a fast‑paced environment.

Stubben Edge is an equal opportunities employer.

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