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Compliance analyst
Reporting to the Head of Compliance Monitoring and Operations, the Compliance Analyst plays an important role in supporting the compliance function in delivering the organisation’s compliance plan, including the operation of an effective compliance programme and all compliance systems and controls applicable to the business.
The role has a broad and varied remit covering licensing, financial crime, conflicts of interest, complaints, data protection, and regulatory compliance controls, alongside monitoring the effectiveness of those controls. The Compliance Analyst will also support the compliance leadership team by providing input into strategic projects as required.
About the Role
- Act as a first point of contact for compliance queries, undertaking initial assessment and triage, providing risk-sensitive regulatory guidance where appropriate, and escalating complex or higher-risk matters to the relevant Compliance Manager.
- Support the management of the financial crime framework, including conducting sanctions screening investigations using industry-standard screening tools, escalating potential matches where appropriate, and providing risk-based advice to business stakeholders.
- Support the Compliance Team in delivering first-line compliance education and awareness initiatives, including the development and delivery of training, guidance materials and communications to promote a strong compliance culture across the business.
- Support the management of the organisation’s data protection framework where required, including coordinating Data Protection Impact Assessments (DPIAs), advising stakeholders on applicable regulatory requirements, identifying emerging risks, and supporting the implementation of appropriate controls, oversight and governance measures.
- Maintain, review and enhance compliance policies, procedures, standards, guidance documents and supporting materials, ensuring they remain accurate, accessible, current and aligned with regulatory and business requirements.
- Prepare compliance management information, reporting, governance updates and regulatory metrics for senior management, committees and other stakeholders.
- Operate and maintain compliance frameworks, systems, controls, policies and procedures to ensure ongoing compliance with applicable regulatory requirements and internal standards.
- Assist with the handling of customer complaints in line with relevant market and regulatory requirements where required.
- Support the preparation of regulatory returns.
- Assist with the coordination and management of internal audits, external audits, carrier reviews and regulatory information requests, ensuring timely and accurate responses.
- Contribute to horizon scanning activities and assist with regulatory change gap and impact analysis to support the timely and effective implementation of new regulatory requirements.
- Work collaboratively with colleagues across Compliance, Legal, Risk, Operations, Underwriting, Distribution and International Offices to support the effective management of regulatory and conduct risk.
About You
- Strong understanding of UK regulatory frameworks, with the ability to interpret and apply new regulatory requirements and developments.
- Insurance market experience is essential, gained within a carrier, managing agent, broker or MGA environment.
- Broad compliance experience across regulatory advisory, licensing and permissions, financial crime, sanctions and conduct risk.
- Strong analytical, organisational and stakeholder management skills, with the ability to communicate compliance requirements effectively to a range of business audiences.
- Experience conducting sanctions screening and investigations using industry-standard screening tools would be advantageous.
- Experience working within delegated authority arrangements, including a sound understanding of delegated underwriting models, would be highly regarded.
- Professional insurance or compliance qualifications would be desirable but are not essential.
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