Compliance Analyst

Job Description


Job Title: Compliance Analyst
Location: London
Salary: GBP40,000 - GBP50,000
Industry: Insurance Job Type: Permanent
The Role:

A leading independent Lloyd's broker is currently seeking a Compliance Analyst to join their thriving team based in London.


Provision of advice and guidance to the Group companies, business and divisions on a day to day basis.
Assist with industry and regulatory projects, disseminating information, and working with the business to implement enhancements/changes as appropriate.
Preparation and implementation of policies and procedures to achieve and maintain regulatory compliance.
Attend external briefings and market forums to remain up to date with regulatory developments in the General Insurance Sector.
Assisting in the preparation of non-financial aspects of regular returns to the FCA.
Co-ordination and implementation for the circulation of market intelligence and other regulatory updates throughout the Group.

Assist with the development of the risk based annual Compliance Monitoring Plan.
Conduct annual 2LOD monitoring / thematic monitoring reviews, as per the annual plan, and produce reports of findings.
Work with the business to implement plans and solutions to those compliance findings.

.Assist the Compliance Manager with the provision of information to the Internal Auditors.
Assist the Group business in understanding what needs to be implemented and evidenced in order to close off relevant Audit findings.

Review Sanction queries from the business (including conducting necessary research) and report to the Compliance Manager where necessary.
Answer day to day business sanctions queries and questions.
Increase staff awareness of Financial Crime and Sanctions issues including the distribution of relevant information / publications to the business.

Assisting the Compliance Manager in attending internal file review finding meetings and monitoring of follow-up actions, plans, schedules etc.

Identification of emerging issues / Breaches / Complaints / Errors & Omissions, and work with Team members to inform them of such issues, in order that they are suitably addressed and that the relevant registers and files are updated.

Assisting in reviewing / agreeing various items of documentation/agreements, and seeking advice where necessary from the Compliance Manager/Director and/or Griffin.
Ensuring agreements are in place with all third parties with whom business is conducted.

To assist the Compliance Manager / Director with other relevant activities i.e.
oTransitioning of 1LOD activities to the business
oDevelopment of Compliance oversight
oAssist in larger Compliance project work
oAnnual Compliance Plan activities


Good knowledge of FCA Handbook rules, including PRIN, SYSC, ICOBS etc.
Minimum of 2 years` Compliance and General Insurance experience.
Demonstrative experience of working in a 2LOD Compliance function, and whom can execute various oversight responsibilities.
Team player
Prioritise and organise own workload to ensure deadlines are met.
Proactive and use of initiative.
Develop and sustain relationships with management, colleagues across the Group including Third Parties.
Strong inter-personal and communication skills.
Effective IT skills and good written skills.
Effective co-ordination of project-based activities.

If you have the relevant experience or know someone that does please contact us now on 0203 727 2322 or email us at

To view all Current Vacancies or for more information on our Refer a Friend scheme, contact one of our consultants or visit our website

Please Note: Due to the sheer volume of applications we receive, we will only contact successful applications. Therefore if you have not heard from us within 10 working days please deem your application as unsuccessful.


This job was posted by.

Ruth Carter


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