Compliance Analyst

• Conduct risk – maintain register, reporting and assessments.
• Complaints handling – including liaising with internal and external parties.
• Broker approvals – due diligence and assisting with drafting of TOBAs.
• ELTO – weekly batch tracing.
• Anti-bribery – maintain register and central records, assist with approvals.
• Report analysis e.g. exception reports, monthly acquisition costs and TRM reports.
• Sanctions screening – review matches and, where necessary, escalate results.
• Sanctions enquiries, including assisting with referrals from Underwriting / Claims.
• Non-disclosure agreements – reviews and answering queries.
• Lloyd’s licensing – responding to referrals from Underwriting / Claims.

To provide general administrative support to the Compliance Function, including the following:

• Administer the Company’s register of policies and procedures, assisting the team in providing timely reminders to process owners of the need to update documentation.
• Support the operation of the Company’s complaints process, working with the Compliance Officer to ensure that all complaints are recorded, an audit trail of decisions and records is in good order, and assisting with complaints reporting to Lloyd’s.
• Maintain records of sanctions screening enquiries, exception reporting, and other compliance processes and operations.
• To maintain records and information regarding the Company’s interactions with its regulators, including records relating to individual approvals and similar.
• Assist the Compliance Function in monitoring regulatory communications and deadlines and ensuring that such are properly communicated to affected staff.

Experience/Skills:

• Relevant exposure to one or more of the following would be beneficial: conduct risk, complaints handling, and sanctions.
• Lloyd’s experience would be advantageous.
• General understanding of PRA and FCA rules, standards, and expectations.
• Familiarity with relevant insurance and legal concepts would be helpful.
• Proficiency in Word, Excel, PowerPoint.
• Strong written and oral communication skills.
• Approachable, analytical, attention to detail, diligent, persistent.
• Demonstrates initiative, takes ownership.
• Works well in a team and builds strong relationships with colleagues.
• Good organisational skills with the ability to balance competing priorities sometimes under hard deadlines.
• Asks for assistance/seeks advice where necessary/appropriate.

Contact:-

London: 0203 4118430

Email: admin@lawesgroup.co.uk