Conduct & Controls Manager

We’re hiring for a Conduct & Controls Manager to support our growing Commercial Insurance team!

To keep up with our growth in the UK and Ireland, we’re looking for a dedicated Conduct & Controls Manager to operate within the First Line of Defence (1

LOD), embedding FCA-compliant practices across mid-market consumer, commercial and wholesale insurance broking operations. You will ensure regulatory requirements are executed effectively at transaction level, overseeing operational controls, file quality, conduct standards and breach identification across the business.

• 3+ years’ experience within commercial or corporate insurance broking.
• Experience in a QA, compliance, audit or operational control capacity.
• Sound understanding of FCA regulatory expectations in an insurance intermediary environment.
• Demonstrable experience identifying and managing conduct risk issues.
• Strong working knowledge of FCA requirements including ICOBS, SYSC, DISP, PROD and Consumer Duty.
• Practical understanding of conduct risk within commercial broking.
• Experience conducting structured file reviews and thematic QA

• Experience operating within a First Line of Defence control role.
• Experience supporting FCA reviews or regulatory visits.
• Experience working within delegated authority or scheme environments.
• Professional insurance qualification (e.g. Cert CII or above).

• Leading the day-to-day oversight of FCA regulatory requirements within broking operations, ensuring compliant delivery of demands & needs, suitability documentation, renewal transparency, fair value assessments, and appropriate disclosure of remuneration and conflicts of interest.
• Ensuring vulnerable customer processes are consistently applied and aligned with Consumer Duty expectations.
• Delivering robust first-line quality assurance through structured file reviews across new business, renewals and mid-term adjustments, alongside thematic reviews (including premium finance, conflicts and delegated authority adherence).
• Reviewing high-risk or complex placements prior to binding where appropriate, identifying systemic control weaknesses, implementing effective remediation, and maintaining clear audit trails of QA activity.
• Reviewing marketing materials, new agency/sub-broking/wholesale requests, and overseeing AR relationships.
• Managing breaches and incidents from identification through to resolution, assessing impact, investigating root causes, overseeing customer remediation, implementing preventative controls, and ensuring appropriate documentation and regulatory reporting.
• Overseeing complaints and customer feedback in line with DISP requirements, ensuring fair, timely and well-reasoned outcomes, identifying root causes and wider organisational risks, implementing Consumer Duty-driven improvements, and escalating material or recurring issues where required.
• Championing strong conduct standards by challenging decisions where foreseeable harm risks exist, supporting teams in evidencing good customer outcomes, and reinforcing clear, fair and not misleading communications.
• Embedding process and control integrity by ensuring regulatory steps are consistently followed, authority limits and delegated arrangements are adhered to, binder and placement controls are monitored, and regulatory changes are effectively implemented.
• Promoting a “right first time” culture through early issue escalation, real‑time coaching, constructive challenge, and reinforcing conduct‑led decision‑making in commercial discussions.

With over 600 people in the UK and Ireland and over 8,000 employees worldwide, NFP is part of the Aon group and specialise in helping businesses in four core areas:

• Insurance (helping them manage key risks)
• Health and safety (supporting them to create a safer workplace for their employees)
• Employee benefits (helping them reward their people more effectively)
• HR, people and talent (supporting employers and their people to thrive through changes and challenges)

• working in a dynamic, fast‑paced organisation in an exciting industry
• the opportunity to do…