Compliance and Risk Manager


Compliance and Risk Manager


Sawbridgeworth or Halifax or Birmingham or Manchester

Reporting to

Group Compliance and Risk Officer

Job Summary

Due to continued growth, both organically and through acquisitions, we are now looking for an experienced and analytical Compliance and Risk Manager on a part-time basis to join our Broking Compliance team.

Our successful candidate is someone who is keen to take on responsibility of providing accurate and risk based compliance advice,to a growing business and to assist in developing the Compliance function. We are looking a Compliance and Risk Manager who is able to pro-actively respond to regulatory change and find pragmatic compliant solutions to business queries.

This resource would act as a trusted advisor to the senior leadership team, business units and risk division counterparts on the delivery of complex regulatory compliance matters and governance issues to ensure we maintain an appropriate second line of defence. The Xenia Group Compliance Manager would also be able to add value by promoting an appropriate compliance culture for our global business through the provision of client and corporate communications, face-to-face training and other learning mechanisms.

This role is perfect for an experienced Compliance professional with 5+ years of generalist compliance experience from a Broking Compliance background and is looking to take the next step in their career to the Compliance managerial level. You will be reporting directly to the Group Compliance and Risk Officer, with no direct reports at the moment, but this might change if the business continues on its current trajectory of growth.

You will mainly be based in any of the above offices, but the role may require a limited amount of travel to our other offices in the UK.

The Xenia Broking Group comprises of two of our entities Credit Risk Solutions Ltd and Credit & Business Finance Limited who are specialist Trade Credit Brokers and amongst the top 3 in the market. Therefore, an experience from a Trade Credit broking compliance would be beneficial but not essential.


  • To provide effective support to the Group Compliance and Risk Officer, ensuring the annual Compliance plan is adhered to and providing compliance support to the business as and when required;
  • Horizon scan for regulatory change, analyse how the proposed changes will affect business operations and disseminate this information to senior stakeholders;
  • To review and where necessary, suggest improvements to compliance frameworks, policies and procedures;
  • Ensure internal polices and procedure remain up-to date with any new regulations/legislations;
  • Review TOBAs and respond to queries;
  • Provide advice on any GDPR queries from the business;
  • Develop a robust compliance MI framework for breaches, complaints, etc;
  • Provide training to staff on compliance related topics;
  • Provide a compliance advisory service to different businesses within the Group;
  • Manage relationships with senior stakeholders across the business;
  • Assist in preparing, reviewing and carrying out aspects of the compliance monitoring plan;
  • Assist the Group Compliance and Risk Officer, in preparing the quarterly Compliance reports to the Group Board;
  • Maintain the Group Risk framework, ensuring that appropriate stress testing is undertaken;
  • Manage Compliance and regulatory projects, e.g. Brexit, GDPR etc;
  • Investigate complaints made against the business and ensure the internal complaints procedure is adhered to;
  • Respond to the business’ ad-hoc compliance queries, comprehensively and in a timely manner;
  • Assist with SMCR related work, including applications/notifications to the FCA, drafting SoRs and training employees on how the regime will affect them;
  • Review and sign off on proposed marketing material;
  • Review and sign off new or amended contracts;
  • Support annual reviews of group internal policies and procedures;
  • Liaise with and report to Regulators as required;
  • Provide excellent customer service to the internal business, to help grow the compliance culture within the company;
  • Carry out reviews on business practices to ensure they are fit for the proposed distribution model;
  • Represent Nexus brand and values;
  • Complete a minimum of 15 hours of continuous professional development annually;
  • Refer any matter beyond the level of an individual’s experience or authority to their line manager.

Required Qualifications, Skills, Knowledge, Experience


  • A bachelor's degree (or equivalent)


  • IT literate with strong knowledge of Word, Excel, PowerPoint and Outlook are essential
  • Excellent communication skills at all levels and confidence to be able to respond clearly to queries from stakeholders
  • Strong analytical, organisational and communication skills
  • Good attention to detail
  • Adaptable and able to manage multiple tasks within a high pressured environment, including working to tight deadlines
  • Top class problem-solving skills
  • Enthusiastic and approachable
  • Ability to find pragmatic compliant solutions to business queries
  • Ability to assimilate and interpret information with accuracy

Knowledge / Experience

  • 5+ years of compliance experience in the insurance market
  • Strong knowledge of the FCA handbook and FCA published papers
  • Good working knowledge of the current regulatory environment
  • Excellent understanding of the general insurance/broking industry

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Contact email: [email protected]