Senior Compliance Analyst

1 month ago

London Area, United Kingdom Asta Capital Limited Full time

Senior Compliance Analyst

To support the compliance function with day-to-day advisory and oversight activities, assist in the delivery of the compliance plan and manage the compliance relationship with assigned managed clients. Supported by the wider Compliance team, the Senior Compliance Analyst will be the primary point of contact for assigned clients which will require the development of a broad level of technical compliance knowledge. There will be a particular focus on clients with conduct risk related requirements.


Key Tasks:

  • to a variety compliance related of queries from managed clients (including queries relating to sanctions, complaints and conduct risk).
  • reliable information, analysis and guidance to the Compliance team and to staff at Asta and its managed clients. This includes drafting compliance board reports and regulatory bulletins.
  • and contribute to syndicate Product Oversight Groups. Produce managing agent level conduct risk MI and reports.
  • and participate during meetings with managed syndicates and other clients, providing information and advice where necessary.
  • both online and face-to-face compliance training to Asta and its managed clients.
  • and develop compliance policies.
  • and submit regulatory returns.
  • in additional projects and activities that may arise.


Key personal Skills:

  • and analytical with a good attention to detail.
  • to form good working relationships and work as part of a team.
  • to apply a compliance perspective to complex operational situations.
  • initiative and an ability to work without close supervision.


Key technical skills:

  • knowledge of UK insurance regulation.
  • of using regulatory knowledge in an insurance business.
  • risk experience.
  • academic background. ACII qualified or working towards this.
  • user of Microsoft Office (including Outlook, Word, Excel and PowerPoint).

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