Compliance Manager, Finance & Banking

IDEX Consulting is partnered with an established insurance broker to appoint a Standalone Compliance Manager to take full ownership of the compliance function from its Watford office.

This is a broad, hands‑on leadership role with responsibility for the day‑to‑day management and ongoing development of compliance across the business. The framework is established, but following recent change within the function, the firm is seeking an experienced individual who can provide stability, oversight and confident regulatory stewardship.

You will operate as the internal compliance lead, ensuring the business maintains strong FCA standards while delivering pragmatic, commercially aware advice to senior management.

The position covers the full spectrum of FCA‑regulated broking activity, including:

• Ownership of the Compliance Monitoring Programme
• SMCR oversight, documentation and Conduct Rules governance
• Regulatory reporting and FCA liaison
• Financial promotions review and approval
• Complaints oversight and root‑cause analysis
• Product governance and fair value assessments
• Maintenance of policies, procedures and compliance calendar
• Board reporting and risk register management
• Oversight of any outsourced compliance support arrangements

You will act as a visible and trusted adviser across the organisation, embedding regulatory awareness into day‑to‑day operations while ensuring proportionate governance within a lean structure.

This role would suit a compliance professional who:

• Has experience within an FCA‑regulated insurance broker
• Is comfortable operating in a standalone capacity
• Understands SMCR allocation and governance requirements
• Can balance regulatory robustness with commercial pragmatism
• Enjoys ownership, visibility and accountability

The business offers a supportive environment where compliance is valued and senior leadership engagement is strong. This is an opportunity for someone who wants breadth, autonomy and long‑term stability rather than a short‑term remediation or transformation mandate.