Compliance Analyst

4 weeks ago

London, United Kingdom eFinancialCareers Full time

This is a permanent position, and does offer hybrid working (3 days in the office per week).

The Responsibilities of a Compliance Analyst Will Include:

- Assisting with Conduct Risk framework activities including, preparation of management information (MI), reviewing product risk assessments, considering audit recommendations for issues that may give rise to customer harm and analysing complaints to identitypotential product issues.
- Assisting the Complaints Manager in handling policyholder complaints in line with regulatory requirements. Supporting syndicate monitoring activities, such as pre and post bind contract certainty, licensing, data accuracy review, financial crime and sanctionsand reviewing adherence to underwriting and claims authority levels.
- Support the Financial Crime Officer in the Financial Crime Framework.
- Supporting the updating and refreshing of compliance procedures, policies and process documents.
- Supporting the updates and enhancements of compliance risks and controls to ensure alignment with regulatory requirements, codes of practice, guidance and principles.
- Prepare the annual business timetable and monitor same throughout the year.
- Supporting the implementation of the Annual Compliance Plan, including the preparation of training materials, advisory notices
- Monitoring compliance with FCA, PRA and Lloyd’s deadlines, including the submission of regulatory returns.

The Successful Compliance Analyst Will Have:

- Some relevant experience in insurance or financial services, within a compliance function.
- Background and experience in Conduct Risk and Complaints - ideally within an Insurance or Lloyds market background - but this would be preferred rather than essential.
- Experience of undertaking research and analysis and preparing reports that convey, concisely the key themes and the potential impact on the business.
- Ability to present risk and compliance outputs to business stakeholders in a clear and coherent way.
- Ideally educated to degree standard, or equivalent.
- Intermediate working knowledge of MS Office products, including Excel, Word and PowerPoint.

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