Senior Compliance Officer

The focus of the Compliance & Risk team is to support the business in fulfilling their compliance accountabilities and delivering the commercial strategy. The Senior Compliance Officer will assist the Head of Compliance & Risk in delivering the annual compliance plan, specifically ensuring all monitoring activities are appropriately carried out.

Career Details
Position opens 12/07/2018
Position closes 20/07/2018
Location Lincoln
Reporting to Head of Compliance & Risk
Job reference

 Monitoring activity will follow a risk based model including, thematic reviews, to assess the extent to which all areas of the business adhere to regulatory procedural requirements. Working with these departments to then ensure relevant internal control standards are in place to allow Barbon to meet external legal and regulatory requirements.

Management and development of a small team, comprising a monitoring officer and agent monitoring officer, responsible for monitoring activities under the compliance plan and onboarding, monitoring and ongoing administration of agent accounts.

Regulatory training needs for the business and agent population will be identified and a robust training plan implemented and delivered by the Senior Compliance Officer, to both internal staff and agents, ensuring full regulatory knowledge and awareness throughout the business.

The Senior Compliance Officer role will be required to undertake field based work in regards delivering monitoring activities of field based sales staff, high risk agents and other trading brands of Barbon.

All members of the Compliance team are expected to help facilitate a strong compliance culture throughout the Company and maintain an effective relationship with management and staff within the Company, assisting them at all times to comply with relevant regulations


  • Assist with the creation of the compliance annual plan, specifically the monitoring activities to be undertaken.
  • Delivering the programme of risk based monitoring and oversight reviews of the business, first line activities, ensuring continued adherence to legal and regulatory obligations.
  • Completing monitoring assessment of field based sales staff and high risk agents ensuring any concerns are appropriately identified, raised and mitigating actions undertaken to satisfactory resolution.
  • Design, create and deliver (as appropriate) all regulatory training and awareness:
  1. Internally – to all staff on an induction and annual refresher basis (as a minimum)
  2. Externally – to the agent population, specifically IARs and EPFs, on an appointment and refresher basis (as a minimum)
  • Undertaking regular reviews, through compliance visits, of Rentshield Direct ensuring robust systems and controls are in place and consistent with HomeLet
  • Supporting the Head of Compliance & Risk with reporting to Exco, ARC and other Barbon committees, being deputy attendee in their absence
  • Implementation and embedment of compliance policies throughout the business, and agents where appropriate, through communication and training, and embedment of local processes
  • Management of agent monitoring processes, including due diligence and ongoing monitoring in accordance with the compliance policy and regulatory requirements
  • Delivering the requirements of the conduct risk framework through the delivery and challenge of relevant management reporting
  • Supporting the Head of Compliance & Risk with regulatory and strategic projects within the business, ensuring compliance with regulatory requirements and providing appropriate advice, guidance and steer






Education / Qualifications




Professional Compliance qualifications

Experience / Knowledge


Minimum of 5 years’ experience working within a FCA regulated, (General Insurance) environment


Practical knowledge and experience of implementing and delivering training to a variety of audiences, both internally and externally


Risk analysis, MI design and reporting at an operational level


Proven knowledge and understanding of the private rental sector, specifically letting agent, landlord and tenant relationships


A willingness to challenge and offer views and set an own agenda, but work with the business to help achieve appropriate Commercial targets.

Exemplary communication skills with an ability to communicate complex issues and engage at all levels within the organization.

Ability to assess the business in order to design a risk based monitoring plan and training needs, ensuring FCA hot topics are focused upon.

Experience in implementing change within a business, (i.e. policies, processes, products)



Previous experience of working within a Sales led organisation; supporting sales and revenue growth preferably personal lines insurance with consumer facing sales (B2C pref and B2B ideally)


Fully demonstrable knowledge of Barbon’s working processes for the sale and administration of General Insurance


Thorough knowledge of all products offered by Barbon




Skills / Aptitudes


Strong leadership skills with the credibility and strength of character to lead and motivate.

Strong advocacy skills and an effective negotiator.

People management skills- able to develop and motivate a team.

Ability to engage at every level of the organization; Executive Team through to the customer service tele sales team

Working methodology of designing/supporting solutions rather than policing/just identifying problems/monitoring


Ability to deliver training to a variety of audiences ensuring commitment and understanding of participants




Benefits: 25 Days’ Holiday + Bank Holiday, Employer Pension Contribution, Health Shield Cash Plan, Discounted gym flex, Childcare benefits, plus more,

Location:  Lincoln, with regular UK travel

OTHER: All applicants must live in the UK and be eligible to work in the UK.

No terminology in this advert is intended to discriminate on the grounds of age, and we confirm that we will gladly accept applications from persons of any age for this role.

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