This is an exciting role which will suit someone who is keen to expand their knowledge of compliance and regulatory matters. The role holder will be responsible for assisting and providing support and advice to the HFIS PLC Group of Companies on anything compliance or data related.

An understanding of insurance compliance and regulatory matters is key to this role and so the ideal candidate will have a strong compliance perspective from an insurance background and have a working knowledge of data protection regulations along with anti-money laundering legislation. Part of the Group consists of Landlord Action which is an eviction services provider. Landlord Action is regulated by the Solicitors Regulation Authority (SRA) and so this role will encompass reporting requirements as laid down by the SRA.

Some of the things you’ll get up to:

  • Assist in the oversight of compliance processes and ensure appropriate advice in relation to regulatory matters is provided to the Group in an effective and efficient manner
  • Monitor new regulatory requirements; ensure that compliance policies are kept up to date and that revisions are disseminated in a timely manner
  • Assist and where appropriate undertake compliance monitoring reviews and completion of reports that demonstrate regulatory compliance and/or identifying correction actions that may be required
  • Be a point of contact for managers and employees regarding compliance related queries
  • Be the focal point for any external audits (i.e. Insurer Delegated Authority Audits) and take the lead in ensuring that any recommendations are followed up on and implemented where agreed
  • In conjunction with IT Infrastructure assist with the annual ISO 27001 audit along with the internal annual audit schedule that forms one of the requirements of the ISO Accreditation
  • Co-ordinate any data breaches or security incidents via the agreed laid down ISO 27001 procedures
  • Provide regulatory assistance with projects as they arise including the implementation and monitoring of the internal systems and controls after completion of the projects to ensure controls are maintained
  • Conduct quarterly Conduct Risk Assessment Audits and report your findings to the CRRO
  • Conduct the annual TCF gap analysis alongside regular TCF oversight reporting for the CRRO
  • Where required design and deliver compliance training and educational awareness training across the Group
  • Record and monitor any complaints that are reported via the Financial Ombudsman Service (FOS)
  • Carry out Introducer screening in accordance with Compliance procedures
  • Act as the focal point for any internal data protection queries ensuring that a record of any data subject access requests is maintained
  • Co-ordinate any internal data breaches – this will involve dealing with Insurers, affected individuals and the ICO where required
  • Assist with any data sharing agreements always ensuring that any data is transmitted securely
  • Co-ordinate the Risk & Audit Committee Meetings ensuring that all actions are followed up
  • Assist with any regulatory reporting such as Gabriel, Consumer Credit Returns and any SRA requirements
  • Ensure that all Company security procedures, as detailed in the Personal Information Security Policy, are followed and any areas of concern are notified to your Department Manager


We’d like you to have:

  • Minimum of two years’ compliance experience within an Insurance brokerage or related financial services environment
  • Working knowledge of the financial services/general insurance market
  • Good working awareness of UK regulations, including the FCA Handbook, AML, GDPR and TCF requirements together with their implications upon business activities
  • Excellent and accurate administration & communication skills with the ability to be able to deal with senior managers
  • Ability to handle multiple on-going projects ensuing that all Stakeholders are kept informed of progress
  • An understanding of SRA requirements would be beneficial



  • Competitive salary
  • 23 days holiday + bank holiday
  • Flexitime
  • Private healthcare for you and dependents (after one year’s service)
  • Season ticket loans
  • Rental deposit loans


About Hamilton Fraser:

Hamilton Fraser are an award winning leader in the property insurance market. We administer the mydeposits tenancy deposit scheme, offer financial, legal and redress services as well as being the UK’s largest supplier of cosmetic insurance. We’re growing rapidly by acquisition and market share and have an extensive portfolio of impressive brands, our office is a hive of activity. Located in Borehamwood, with fantastic transport links, we have a dynamic, agile and fun environment where you can expect to develop your career at an accelerated pace and be generously rewarded for your efforts.