AR Compliance Manager

AR Compliance Manager – PoloWorks

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 team to unlock 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, Responsible, Inclusive, Delivery Focused, Empowering.

Benefits

Benefit Band 3

Location

London, England, United Kingdom

Seniority level

Mid‑Senior level

Employment type

Full‑time

Job function

Finance and Legal

Industries

Insurance