File Auditor - Insurance Compliance

About the role

Our client, an established insurance broker, is seeking a File Auditor to join their compliance team. The role involves evaluating and enhancing internal controls, risk management and governance processes to ensure operations meet regulatory and company standards.

Key responsibilities

• Conduct operational, financial and compliance audits across the business.
• Assess adherence to FCA requirements, conduct standards and internal policies.
• Prepare structured audit reports via online portals, highlighting findings, risks and recommendations.
• Identify and evaluate operational, financial and compliance risks.
• Review the adequacy of existing controls and propose practical improvements.
• Monitor implementation of agreed corrective actions.

Required profile

• Experience working in a regulated environment, preferably within insurance or financial services.
• Strong understanding of FCA regulations, Treating Customers Fairly (TCF) principles and insurance practice.
• Excellent attention to detail and ability to influence stakeholders.
• Proven ability to build relationships with insurance brokers and conduct regular meetings.

Required skills

• Knowledge of FCA compliance requirements.
• Familiarity with audit methodologies and reporting tools.