AR Compliance Manager
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Reporting to the Head of Compliance, the AR Compliance Manager will play a crucial role in the success of Polo MGA sector within the PCIS platform business. This role will primarily focus on managing the transition and oversight of the network of Appointed Representatives (ARs), ensuring ongoing regulatory compliance for this segment of the organisation.
The successful candidate will be responsible for developing, implementing, and maintaining relevant regulatory and operational risk frameworks, as well as leading initiatives to enhance the customer journey while ensuring regulatory standards for this part of the business.
Key Responsibilities
Complete applications for regulatory permissions, including becoming an Appointed Representative, and providing support throughout the entire authorisation process.
Create and facilitate the onboarding and transition process for appointed representatives, including obtaining FCA authorisation.
Oversee ARs, conduct due diligence, review policies, and ensure ongoing regulatory adherence.
Manage the transition of appointed representatives, ensuring they meet compliance standards.
Support the compliance team with acquired businesses and day-to-day tasks.
Review financial promotions and AR customer journeys for compliance with ICOBS.
Collaborate with internal and external stakeholders (e.g. FCA, BIBA, MGAA), as required.
Ensure compliance with all relevant regulatory reporting requirements
Provision regular reporting to senior management and the PCIS Appointed Representative Committee
Ensure company policies are in line with regulatory requirements.
Develop and maintain appropriate regulatory and operational risk framework, including policies, procedures, and controls.
Conduct risk assessments and implement measures to mitigate identified risks.
Team Leadership and Management
Culture and Values
Foster an inclusive, collaborative, and pioneering workplace that values diversity and continuous growth.
Encourage open communication, mutual respect, and a strong sense of belonging.
Recognise achievements and address team concerns to maintain a supportive and positive workplace, with emphasis on colleague well-being.
Performance Management
Lead and motivate team members to achieve performance goals.
Set clear expectations, conduct regular check-ins, and provide constructive feedback.
Address underperformance and recognise excellence.
Recruitment, Workforce planning & Learning and Development
Support recruitment, onboarding, and induction to integrate new hires effectively.
Manage schedules and approve leave requests while ensuring operational balance.
Identify training needs and promote continuous learning through career development and succession planning, empowering your team to unlock their full potential.
Communication and Collaboration
Bridge communication between senior management and the team.
Foster collaboration, resolve conflicts, and conduct regular, effective team meetings.
Facilitate change through personal commitment and support of organisational initiatives.
Experience & Skills
3-5 years of compliance experience within insurance, inclusive of the Lloyd’s and London markets.
Strong understanding of FCA rules (PRIN, ICOBS, SYSC, SUP) and AR models.
Experience in reviewing financial promotions and compliance monitoring.
Strong understanding of regulatory requirements and compliance standards.
Excellent analytical and problem-solving skills.
Strong communication and interpersonal skills.
Ability to manage multiple tasks and prioritise effectively.
Demonstrates behaviours aligned to the PoloWorks PRIDE values:
- Pioneering – we don’t stand still
- Responsible – We do the right thing
- Inclusive – we all play a role
- Delivery Focused- we provide services we are proud of
- Empowering – we equip people to be their best
Benefits
As well as a competitive salary, discretionary annual bonus, and a minimum 24 days of annual leave (with the option to buy more), you will also get an excellent benefits package, including flexible, hybrid working, private health insurance, life assurance, income protection, enhanced pension contributions, and occupational maternity and paternity pay.
You will also have access to company volunteering days, an Electric Vehicle (EV) leasing scheme, an employee assistance programme with retail discounts and savings, a generous employee referral scheme, regular sports and social events, and free Cheltenham bus travel.
Benefits Band 3