We are working with a leading Life Investment manager looking for a Compliance Analyst to join their small, high-performing compliance team. The team sits within the second line of defence model and serves to manage regulatory projects, set policy, provide advice and challenge and monitor implementation. The ideal candidate will have 1-2 years regulatory and/or compliance experience within Life Insurance. Similar compliance backgrounds at an asset manager or consultancy will also be considered.
Reporting to the Compliance Manager.
The responsibilities of the role include:
- PRA/FCA relationship management including support in responding to and tracking of information requests and diligently following up with key stakeholders.
- Support on the delivery of the compliance plan e.g. projects such as monitoring reviews / baseline monitoring.
- The delivering and further embedding of current BAU regulatory issues (SM&CR / GDPR).
- Provide support in tracking compliance monitoring and internal audit actions.
- Provide assistance with internal and external reporting to regulators .
- Production of regulatory and conduct MI and metrics to key internal governance committees
- Third party on-boarding KYC checks.
- Support in the production of compliance committee and board packs.
- Create and maintain excellent relationships with other control functions and across the firm.
- Carrying out personal account dealing checks.
- Providing support to the Compliance KYC process.
Administration activities and wider support:
- Owning compliance advice/breaches/logging/regulatory/monitoring trackers and following up on these.
- Implementing compliance training admin and upkeeping records.
- Maintaining the key compliance documents and systems.
- Providing administrational and organisation support to the team by assisting with the coordination of meetings within the department, tracking actions, and record keeping in the relevant Compliance Team drive.
Required Skills –
- Excellent attitude, team player, strong work ethic and desire to learn.
- Flexibility whilst working within a dynamic rapidly growing firm.
- The ability to switch working on multiple tasks at short notice whilst remaining deadline focussed.
- Strong initiative and desire to hit the ground running.
- Project coordination experience and diligent attention to detail.
- Regulatory change experience.
- Ability to form strong relationships with the business and liaise with senior stakeholders.
- Ideally experience within an Insurer/Asset Manager
- Proficiency across MS Word/Excel/PowerPoint.
Salary: Up to £50,000
Disclaimer This position description is intended to describe the duties most frequently performed by an individual in this position. It is not intended to be a complete list of assigned duties, but to describe a position level. The role shall be performed within a professional office environment. Rothesay has health and safety polices that are available for all workers upon request. There are no specific health risks associated with the role.
Please note, our client is unable to offer sponsorship for this opportunity. Should you not be contacted within five working days of submitting your application, then unfortunately you have not been shortlisted for the opportunity. We will however, be in touch should there be any other opportunities of potential interest that are suiting to your skills.