Group Compliance & Conduct Leader - Advice & Oversight

As a Compliance & Conduct Leader, part of the Compliance leadership team, you will play a key role in
supporting the Group Head of Compliance & Conduct Risk to deliver the Compliance & Conduct Strategy across
the business. This includes embedding risk mitigation strategies, promoting ethical decision-making, and driving
a culture of continuous improvement and customer-centricity.

You will lead a team (minimum 3) to deliver accurate, value-add compliance and conduct risk advice, ensuring
that compliance and regulatory objectives are seamlessly integrated with broader business objectives,
enhancing both operational efficiency and corporate governance.

You will work closely with the wider compliance and risk team, and cross-functional business areas, providing
subject matter expertise, supporting regulatory readiness, and ensuring that all policies and controls remain
effective, practical, and aligned to the latest regulatory expectations.

The primary responsibilities of this role include:
Strategy & Culture
• Engage with senior leadership across defined pillars of the business strategy to provide pragmatic,
current advice on the management of compliance & conduct risk to support ‘compliant by design’
delivery.
• Partner with senior leadership and key stakeholders, providing subject matter expert (SME) guidance on
compliance and conduct risks, the wider regulatory arena, issues, and best practices.
• Promote a culture of integrity and ethical behaviour that aligns with our commitment to delivering the
right outcomes for customers.
• Advocate for good customer outcomes and help to underpin the customer centric culture.
• Champion continuous improvement and proactive risk identification across all business areas.

Regulatory Compliance
• Lead a team to design and implement an effective, business centred horizon scanning process with
effective impact analysis of regulatory developments, emerging trends, and industry guidance.
• Effectively manage the horizon scanning process to ensure business engagement and prompt action in
the delivery of and response to regulatory obligations and activities.
• Provide timely advice and guidance to core governance for a and Committees on evolving compliance
obligations and conduct risk management.
• Support the business in preparing for and responding to regulatory engagement and audits.
• Lead the oversight of any required customer remediation activity, ensuring customer outcomes are
actively championed in line with regulatory compliance and balanced with commercial impacts.

Policy and Control Management
• Take ownership of one or more compliance and conduct-related policies, managing them end-to-end to
ensure clear implementation and ongoing relevance.
• Act as the SME for assigned policy areas, providing guidance, interpretation, and support to ensure
business understanding.
• Lead the review and update of assigned policies, procedures, and associated learning materials.
• Support regulatory investigations or internal information-gathering exercises as required.

Compliance & Conduct Plan Delivery
• Design and produce high-quality, data-driven reports for senior leaders on compliance performance,
emerging risks, and opportunities for improvement.
• Support the third-party risk management process by conducting onboarding assessments and
contributing to ongoing oversight.

Compliance Leadership
• Support the Group Head of Compliance & Conduct Risk to build an expert compliance function which is
seen and valued as a key contributor to and enabler of the wider business strategy.
• Lead, develop and motivate a team of aspiring compliance professionals to advance their own
knowledge, skills and approach for their benefit and for the benefit of the business.
• Navigate team pressure points, performance and conduct issues as required to successful outcomes.

Tools, Reporting & MI
• Develop and enhance compliance tools, templates, and frameworks that enable effective risk
identification, assessment, management and monitoring.
• Lead in the production and presentation of high-impact management information (MI), dashboards, and
presentations for internal governance and board-level audiences.
• Monitor and manage the reporting, escalation, and resolution of compliance incidents, ensuring root
causes and lessons learned are captured and addressed.

Training & Awareness
• Stay informed of regulatory changes and industry best practices to maintain up-to-date expertise.
• Lead the design and delivery of engaging and relevant training programs that raise awareness of
compliance and conduct risks across the organisation.

Stakeholder Engagement
• Establish self as a trusted SME and business partner for compliance and conduct matters within the
business.
• Build strong, credible partnerships with business leaders to drive alignment and accountability on
compliance expectations.
• Collaborate with internal teams, including Risk, Product, Technology, Pricing, People Experience, and
Operations, to ensure seamless integration of compliance practices and consistent application of
controls.

So, then who are you?

You’re a sharp, solutions-focused professional with a strong moral compass and a passion for doing the right
thing. You thrive in fast-paced environments, stay cool under pressure, and know how to balance regulatory
demands with real-world business needs. People trust your judgement because you listen well, speak clearly,
and act with integrity. You’re curious, proactive, and not afraid to challenge when it counts — always pushing for
smarter, simpler, and more ethical ways of working.

The core attributes we would value in this role are:
• Proven experience in a compliance & conduct role, performing at a senior level, within the general
insurance industry and financial services.
• Expert working knowledge of relevant regulatory frameworks (e.g. FCA).
• Experienced, confident communicator with the ability to influence and challenge at all levels.
• Strong analytical skills, with the ability to interpret complex information and deliver clear, actionable
insights.
• Skilful commercial acumen with the ability to support the business to take risk-based decisions to drive
delivery of business plans in a way which supports regulatory compliance and good customer outcomes.
• A proactive, detail-oriented approach with a passion for driving ethical and compliant business practices.
• Collaboration: Ability to collaborate cross-team and across the organisation with senior stakeholders.
• Risk Awareness: Understanding of risk management principles and the ability to align compliance efforts
with broader risk strategies.
• Integrity: Commitment to ethical behaviour and fostering a culture of transparency and accountability.
• Leadership: Evidence of building, driving and motivating teams to achieve individual and group success.

Criteria:

• Min 2:1 Honours in a relevant or transferable subject (or equivalent experience).
• Relevant professional qualification (e.g., ICA Diploma, CISI, or legal/regulatory background).