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Compliance Officer - Yorkshire - LH416

Our client is seeking an experienced Compliance Officer to join their Compliance Team and play a crucial role in facilitating our annual Compliance Monitoring Plan. If you have a background in compliance and/or quality assurance within general insurance or FCA regulated financial services, we want to hear from you.

Our client is an independent insurance brokerage based in North Yorkshire. They specialise in a number of niche sectors, including Commercial, Farm, Care & Social Welfare and Art & Private Clients – with clients and team members up and down the country. The Marketing Team also operates for additional brands across the company group.

The company prides itself on its culture, values and ambition, working collaboratively and determinedly to do right by their clients. They are always looking for the next opportunity to develop and grow their ever-evolving and expanding team and company.

You can be part of their dynamic, sociable team who work hard for clients and support one another in meeting their own and company objectives. With an emphasis on client service, technical insurance advice and teamwork, you can develop your expertise in a client-focused and supportive environment. Now is an exciting time to join this business as they accelerate growth and take on new and exciting opportunities with partners and insurers.

Key Highlights:

• Undertake and facilitate the annual Compliance Monitoring Plan as part of Risk Management and Compliance strategy.

• Utilise your experience and understanding of Operational Risk management practices within financial services and the wider related regulatory environment.

• Apply your strong experience in the practical application of Consumer Duty (both pre and post 31 July 2023).

• Leverage your good working knowledge of the UK regulatory framework and experience with FCA or PRA handbooks.

• Contribute to the development and enhancement of compliance processes to meet regulatory expectations and commercial objectives.

• Support the development of new risk management processes, procedures, and tools as part of continuous improvement and innovation.


• Proven experience in compliance and/or quality assurance within general insurance or FCA regulated financial service business.

• Familiarity with operational risk management practices and the regulatory environment.

• Strong understanding and practical application of Consumer Duty.

• Good working knowledge of the UK regulatory framework, FCA, or PRA handbooks.

• Ability to develop and enhance compliance processes in accordance with market practice.

• Excellent communication and problem-solving skills.

• Attention to detail and a commitment to meeting regulatory requirements.


• Competitive salary and benefits package.

• Opportunities for professional development and growth.

• Dynamic and collaborative work environment.

To find out more:

Please call Lauren Holloway on 01885 485527/ 07506297071 or email an up-to-date copy of your CV (In Word Format) to

De Lacy Executive Recruitment will upload your CV to our database and retain some data about you in order to process your application.

More information about our processing activities can be found at

Please be assured that all contact is treated in complete confidence and your details will not be passed to a third party without your prior permission.

Please note that this advertisement is not a job description and you should satisfy yourself about the full details at interview.

De Lacy Executive Recruitment is an Approved member of the Recruitment and Employment Confederation, which promotes high standards in recruitment practice, and is registered with the Information Commissioners Office. De Lacy Executive Recruitment complies with all relevant data protection legislation

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