Compliance & Governance Manager
London, United Kingdom
003909
Working at Lockton
At Lockton, we’re passionate about helping our people achieve their ultimate potential. Our people are curious, action-oriented and always striving to make ourselves and those around us better. We’re active listeners working to ensure understanding and problem solvers developing innovative solutions. If you can see yourself delivering excellent service to clients, giving back to our communities and being a part of our caring culture, you belong here.
About the Position
Job type
Experienced Professional
Workplace
Hybrid
Your Responsibilities
As Compliance & Governance Manager, you will support the Head of Compliance & Governance for the Retail division with a focus on our Real Estate business.
You’ll be supporting the delivery of governance, regulatory, and compliance oversight for the division, ensuring adherence to all relevant local legislation, industry standards, and internal policies and will be the initial point of contact for compliance and governance related issues from the business.
Key responsibilities will include:
- Developing, implementing and maintaining compliance policies, procedures and service delivery templates that support high-quality client service.
- Managing controls, undertaking approvals around account opening and payment transactions.
- Review of delegated authorities, TOBAs and other client and market agreements.
- Supporting the business in meeting their Product Governance responsibilities including Prod 4 oversight
- Implementing robust and effective procedures to mitigate the risk of financial crime, money laundering, bribery and corruption on our business.
You should keep on top of regulatory change and best practice so that the business stays ahead of the curve and be able to provide practical training and guidance to the business on compliance and governance matters.
Qualifications
About you:
- You should have a thorough understanding of insurance policies and procedures and the regulatory framework – specific knowledge of the Real Estate environment would be beneficial.
- Experienced in compliance, insurance operations or change management - this could have been gained whilst in another role e.g. client facing.
- Have strong data management and IT skills, including Excel and PowerPoint.
- Have a proactive and adaptable solution focussed approach
- Be a confident communicator who can build trust with stakeholders
- Thrives in a fast paced environment
- Committed to delivering and maintaining high standards with strong organisational and analytical skills.
Equal Opportunity Statement
Lockton Companies is proud to provide everyone an equal opportunity to grow and advance. We are committed to an inclusive culture and environment where our people, clients and communities are treated with respect and dignity.
At Lockton, supporting diversity, equity and inclusion is ingrained in our values, and we believe that we are at our best when we fully embrace everyone. We strive to cultivate a caring culture that learns from, celebrates and thrives because of our breadth of differences. As such, we recognize that recruiting, developing and retaining people with diverse backgrounds and experiences is vital and enabling our people to thrive personally and professionally is critical to our long-term success.
About Lockton
Lockton is the largest privately held independent insurance brokerage in the world. Since 1966, our independence has allowed us to serve our clients, take care of our people and give back to our communities. As such, our 13,100+ Associates doing business in over 155 countries are empowered to do what’s right every day.
At Lockton, we believe in the power of all people. You belong at Lockton.
How We Will Support You
At Lockton, we empower you to be true to yourself in all that you do. Your success is our success, and we provide opportunities to help you grow and create a rewarding career path, however you envision it.
We are ready to meet you where you are today, and as your needs change over time. In addition to industry-leading health insurance, we offer additional options to support your overall health and wellbeing.
No Agencies Please
Any Employment Agency, person or entity that submits an unsolicited resume to this site does so with the understanding that the applicant's resume will become the property of Lockton Companies, Inc. Lockton Companies will have the right to hire that applicant at its discretion and without any fee owed to the submitting Employment Agency, person or entity. Employment Agencies, who have fee Agreements with Lockton Companies must submit applicants to the designated Lockton Companies Employment Coordinator to be eligible for placement fees.
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October 1, 2025
The Community Impact Award, funded by the Lockton family, recognizes Associates who exceed expectations in improving their communities through volunteerism and philanthropy. This recognition enables each award recipient to direct a $25,000 donation to a charity of their choice. Julia Klaas earned recognition for her work with Gilda's Club, a nonprofit organization dedicated to providing emotional and social support to patients battling cancer. Julia's journey with Gilda's Club began three years ago when a fellow Lockton Associate asked Julia if she would be interested in joining the board. However, the work of Gilda's Club has long been close to her heart. Gene Wilder founded Gilda's Club to honor his late wife, Gilda Radner, who passed away after battling ovarian cancer. Since then, the organization has evolved into a national network that serves people of all ages by providing social and emotional support, regardless of the type of cancer. Julia found the organization when her sister was battling cancer, sending her resources from the Gilda's Club website up until her passing in 2023. Julia is on the board of Gilda's Club Kansas City (GCKC), which serves patients in both Kansas and Missouri. However, it is a smaller chapter, leading to challenges with fundraising. This is why Julia chose Gilda's Club to be the beneficiary of Lockton's Community Impact Award. "Lockton's donation provided an important boost. I was honored to be able to do that for the organization," Julia said. In 2024, Gilda's Club served 2,817 unique patients at its facility in Kansas City, MO, with a total of 6,406 visits. With funds from the Community Impact Award, their goal for 2025 is to serve 3,000 patients. "One thing about Lockton is that we are encouraged to go out and get involved," Julia said. Last year, she chaired a fundraising auction for the organization and said the support from her Lockton colleagues was unmatched. "I had so many of my colleagues and peers come. I had someone from London who was in town, and even he wanted to come. That is just the spirit of Lockton," she said. For Julia, her commitment to giving back to her community is an integral part of her identity, and when she joined Lockton, she discovered how closely the company's goals aligned with her core beliefs. "We are encouraged to take extra time to give back to our communities, and I think that is a very unique and special thing," Julia said. She shared that Gilda's Club is even making a difference in the Lockton community. When one of her colleagues called her and asked for information about Gilda's Club, she felt how valuable the organization truly is. The motto of Gilda's Club is "No one should face cancer alone," and through Julia's work and Lockton's support, she has made a lasting impact, helping the organization uphold that goal. Julia's work with Gilda's Club has already made a meaningful difference in our community, and she will continue advocating for the organization's goals far into the future. "Even when I'm off the board, I will continue to be engaged and involved in Gilda's Club," Julia said. A Statement from Gilda's Club Kansas City "We are so appreciative of Julia and Lockton for this wonderful gift. Funding will enable us to reach more people with a cancer impact in our community through educational workshops, support groups, short-term counseling, healthy lifestyle classes, and mental health resources and referrals, all offered free to participants." Thank you, Julia, for your dedication to making a positive impact in your community and at Lockton.
October 16, 2025
The Community Impact Award, funded by the Lockton family, recognizes Associates who exceed expectations in improving their communities through volunteerism and philanthropy. This recognition enables each award recipient to direct a $25,000 donation to a charity of their choice. Sherri Harrison earned this recognition for her work with Operation Help a Hero (OHH), a nonprofit organization providing support to military families. Sherri's journey with Operation Help a Hero (OHH) began with a simple Google search. As the spouse of an active-duty Navy SEAL for the past 28 years, she has experienced firsthand the emotional challenges that come with military life. Always looking for ways to support other military families, Sherri brought that passion with her when she joined Lockton. Wanting to find a cause her new team could rally behind, she discovered Operation Help a Hero, which was a perfect fit for both her values and the team. Operation Help a Hero is a nonprofit organization dedicated to supporting American military members and their families as they prepare for separation, endure the challenges of deployment, and transition back to the U.S. The organization began as a grassroots Marine Ministries and Pen Pal group shortly after the September 11, 2001, attacks. It was founded by Cindy Farnum, who was inspired after a special event at her school. At the time, she had her middle school students welcome local Marines to the school for a Veterans' Day celebration. Over the past 24 years, the organization has evolved into a valuable resource for military families nationwide. After over three years of volunteering and fundraising for OHH, Sherri and the Lockton Southern California team have made a significant difference in the lives of military families across California, specifically through Operation Christmas Spirit, where Lockton Associates come together during the holiday season to buy gifts, gift cards, toys, and other needs of the families and wrap them. Over the years, the event has brought the Lockton San Diego/Irvine and Los Angeles teams together to collaborate on wrapping and delivering these holiday gifts. Often, families with members in the military on deployment are unable to celebrate holidays or milestones with their loved ones. This is why Sherri chose OHH to be the beneficiary of Lockton's Community Impact Award. "I experienced that myself," Sherri said. "Having two boys and with my husband on deployment over the years, I can relate to the emotional experience of worrying about my loved ones. I am aware of the need for support. I am so grateful to Lockton. It is an honor for me and an impact for OHH." Since 2022, when Sherri first introduced OHH initiatives at Lockton, Associates have raised a total of $22,110 to support nine military families through the Operation Christmas Spirit program. And each year, these family adoptions from Lockton Associates increase. In 2024, Sherri organized a full adoption of four families across California and raised a total of $12,900 to help with various challenges the families were facing. "Lockton and its Associates and Producers have been so generous over the years. Their generosity is why we have been able to increase the number of families that we have been able to adopt each year," Sherri said. Cindy Farnum, Director of OHH, said that because of both Sherri and Associates here at Lockton, support for military families through OHH is growing: "It is a huge undertaking. When Sherri reaches out to help families, I will sometimes ask if we can give her a larger family, and she always says yes. I know I can always reach out to her. One thing about Sherri is that she is always flexible and willing to offer her help when it is needed." Although Sherri's community impact through OHH has already helped many military families in a profoundly positive way, she said that she wants to continue expanding this support. "I'm hoping within Lockton, it continues to grow," she said. "We have incredible people at Lockton, and there is something to be said when we all come together to help others. That was something I saw when I first joined Lockton -- not just the willingness to help others, but how it also brings our teams together." Not only will Lockton's donation help support Operation Christmas Spirit this year, but the organization also plans to use the donation to help support Operation Rack Pack. In this barracks project, volunteers will clean barracks rooms, hang welcome posters, fill fridges with drinks and food, and leave welcome home packages for Marines returning from deployment this fall. "The $25,000 Sherri earned through her hard work is game-changing for us. We will serve over 1,000 single Marines and sailors returning from deployment, 10 families through Operation Christmas Spirit, and 10 families in crisis. We sincerely appreciate the help. Thank you to Sherri and everybody at Lockton because we cannot do this without you," Cindy said. Thank you, Sherri, for your dedication to making a positive impact in your community!
October 15, 2025
When 2-year-old Ann Denman lost her battle with Leukemia in 1984, friends and family in Kingwood, Texas, came together to establish a memorial that would help other children who are facing the same battle. The outcome was Mothers Against Cancer, a nonprofit founded in 1989 that raises funds for childhood cancer research at the Texas Children's Hospital Cancer Center. Over the past three decades, this organization has donated over $8.5 million to pediatric cancer research. Brittany Nichols grew up surrounded by support for this organization. Brittany's own mother, who was friends with Ann Denman's parents, had been participating in Mothers Against Cancer since Brittany was a child. Britany was inspired to join the organization after seeing her mother and her friends' commitment to raising money for childhood cancer research. Because of her own history with Mothers Against Cancer, Brittany chose this organization to be the beneficiary of the Lockton Cares Community Impact Award. "Only four cents on every dollar donated to cancer research goes to pediatric cancer research. The remaining goes toward adult cancer research. We are hoping to fill that gap," she explained. Brittany's keen sense of empathy and determination, both in her community impact initiative and her professional life, have played a key role in her success. Her passion for giving back stems from a belief that even small actions can have a lasting impact. "At Lockton, you feel like you are family. If you have something that you care about and you are passionate about, someone will reach out and say, 'Let's do something about this.' It motivates you just being with Lockton to step up and do better." Lockton's donation will also have a significant impact on the families of children with cancer in her community. At Texas Children's Hospital, parking spaces for families or parents visiting their children are $40 per day. The donation from Lockton Cares will help Mothers Against Cancer cover these costs, making a challenging experience a bit easier. In addition to easing parking, Lockton's donation supported Brittany's "Christmas in July" event for Mothers Against Cancer. Brittany and her friends and family put together goodie bags for the children and parents who are staying at Texas Children's Hospital. "It is hard being in the hospital for so long. We want to put a smile on their face and let the kids know that we are thinking about them," she said. "Lockton has been an incredible company to work for, and I am grateful for their support. Without their donation, I would not have had the opportunity to contribute so greatly to pediatric cancer patients, and together, we are making a real difference," Brittany said.
October 1, 2025
The Community Impact Award, funded by the Lockton family, recognizes Associates who exceed expectations in improving their communities through volunteerism and philanthropy. This recognition enables each award recipient to direct a $25,000 donation to a charity of their choice. Darlene Holleman's commitment to Kids' Meals, a nonprofit organization that helps bridge the hunger gap for children in Houston, Texas, earned her this recognition. Over the past two years, Darlene Holleman has championed Kids' Meals by integrating knowledge and awareness about children’s food insecurity into Lockton's culture through hands-on volunteerism, holiday giving, and a deep commitment to expanding its reach and impact. Kids' Meals started as a small nonprofit in 2006 with just two vans delivering meals to hungry preschoolers in two zip codes in Houston, Texas. Today, two decades later, the organization now serves 56 zip codes across Greater Houston and is predicting even more growth in the coming years. The collaboration between Lockton and Kids' Meals began two years ago, when Darlene rejoined Lockton. "I worked with Kids' Meals at a prior employer, and I did not realize how many preschool-aged children live in an insecure meal environment [in Houston]. One in four Houston preschool-aged kids do not have food security," Darlene said. Seeing this pain in her own community inspired her to introduce community impact initiatives in Houston, and they were a tremendous success. Over the past two years, Associates in the Houston office have held numerous events that benefit Kids' Meals, including multiple trips to their facility to make meals and package food, decorating brown bags for lunch donations, and even making holiday wishes come true through Kids' Meals' “Adopt a Family” program at Christmas time. All led by Darlene. She said that the turnout at each of these events was amazing. "At Lockton, it is hard not to get involved in the culture, because it is just who we are. That comes from top down and bottom up." Darlene's commitment to providing food security to children in the greater Houston area is not only exceptional but vital. "Because of rising food costs, this donation will help provide 12,500 lunches for our community," Darlene said. "The monetary value that I am going to give to Kids' Meals is exciting. I called my friend over at Kids' Meals, and they said this funding came at a perfect time. This donation will help them to keep providing meals to the children across Houston," Darlene said. The impact that Kids' Meals have within both Darlene's Houston community and her Lockton community is immense. During the school year, the organization delivers approximately 9,000 free, healthy meals daily. When school is out, every child in a family that works with Kids' Meals, up to the age of 18, also receives meals. In the summer, this translates to over 16,000 meals delivered per day. "I think it has brought awareness to us about how many people are in an insecure food environment. I think that was an eye opener for a lot of our Associates," Darlene said. However, her work has been so successful due to the Lockton culture. “The culture here at Lockton makes you want to do good for other people and also to be part of the family. I think that really drives each of us to be a better person all around, whether it's in the community or at Lockton serving our clients,” Darlene said. Darlene has big plans for the future of Kids' Meals at Lockton, including engaging more Associates to participate and volunteer with their teams for this organization, as well as expanding their holiday family adoption program to more families. “As we grow here in Houston, we can serve more people and have a bigger impact in the community.” In addition to putting her goals into action, Darlene hopes to continue educating Lockton Associates about their local Houston community and the issue of food insecurity in that area. "It makes us realize how fortunate we are to work at Lockton and that we should be giving back and helping those who are less fortunate in our communities." Thank you, Darlene, for your commitment to making a meaningful community impact!