Insurance Intermediation
For insurance intermediaries, effective compliance management requires a combination of effective governance, robust conduct risk management and consistent oversight you can evidence. My Compliance Centre gives you the platform to manage and demonstrate all three.
Whether a single office or a large multi-entity group, intermediaries are judged on file quality, conduct standards and the evidence of consistent oversight – the areas at the heart of FCA expectation, and the hardest to demonstrate when the work runs across spreadsheets and email.
What My Compliance Centre Addresses
FileChecker – structured file reviews
Reviews structured, scored and consistent. Findings recorded and assigned for remediation. Actions tracked to closure. Trend analysis identifies root causes before they become systemic. Built for firms where conduct oversight at scale is the primary challenge.
Compliance monitoring
Your monitoring programme deployed on a platform that assigns ownership, tracks findings to resolution and surfaces management information your Board can rely on.
Your governance framework
Meeting packs, minutes, actions and attendance evidenced automatically. For firms under individual accountability requirements or wanting best practice governance.
Register vault
60+ register templates – incidents, breaches, complaints, vulnerable customer records and more – with a workflow engine for approvals and reviews. Works for single entities and large multi-entity groups.
Employee compliance
Policy and fit and proper attestations, conflicts disclosures and gifts through automated workflows. For large adviser populations, automated reminders and consolidated reporting make compliance at scale practical.
SMCR
Senior manager roles, responsibilities and certifications managed in one system. Evidence of the reasonable steps taken to ensure Conduct Rules compliance is structured, documented and accessible when needed.
Regulatory change
Track FCA developments, assign actions and evidence your firm’s response in a structured, auditable way.
What This Means in Practice
File reviews are structured, evidenced and tracked to closure. Governance records are maintained automatically. When the FCA visits or your Board asks for a compliance update, the evidence is in the system – not scattered across spreadsheets and email chains.
Frequently Asked Questions
Insurance intermediaries manage file reviews, conduct oversight across broker and adviser populations, complaints, vulnerable customer records, compliance monitoring and governance. This is often with a compliance team that is small relative to the people it oversees. My Compliance Centre brings these into one platform, with FileChecker structuring file reviews and Register Vault holding the supporting registers, so consistent oversight can be evidenced across single entities and large multi-entity groups alike.
FileChecker structures the entire file review process – reviews assigned consistently, scored against your own criteria, findings recorded and categorised and remediation tracked to closure. Trend analysis identifies patterns across reviewers and time periods, helping you find root causes before they become systemic. It is built for firms where conduct oversight across a broker population is the primary challenge.
The platform works for single entities and large multi-entity groups, giving you consolidated oversight across all your broking entities while still allowing each to be managed in its own right. Attestations, registers, file reviews and monitoring can be deployed across the group, with reporting that shows both the overall position and individual entities.
Yes. Both are managed through Register Vault, which includes templates for complaints and vulnerable customer records among its 60+ registers. Each is supported by a workflow engine for recording, review and escalation and the audit trail is maintained automatically – so the evidence is there when the FCA or your Board asks for it.
Yes. Insurance intermediaries are among the firms using My Compliance Centre, and three large consolidators use FileChecker specifically to manage file reviews across their acquired businesses. The platform is used by more than 200 regulated firms and over 10,000 financial services professionals in total.
Let us show you how My Compliance Centre can make a difference to your risk and compliance management
Fill in your details and we will give you a call to arrange a demo. Alternatively, call us on +44 (0)20 8017 8273 or email info@mycompliancecentre.com.