About this role
Reporting to the Head of Compliance Monitoring and Operations, the Compliance Analyst plays an important role in supporting the compliance function in delivering the CFC compliance plan, including the operation of an effective compliance programme and all of the compliance systems and controls applicable to CFC Underwriting. The role has a broad and varied mandate covering licencing, financial crime, conflicts of interest, complaints, data protection and regulatory compliance controls, alongside monitoring the effectiveness of those controls. The Compliance Analyst will also be supporting the compliance leadership team in providing input to strategic projects as required. 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 World-Check, escalating potential matches as 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. Where required support with the management of CFC's data protection framework, 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 to 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. Where required, assist with the handling of customer complaints in line with Lloyd’s requirements. Support with 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 the Horizon Scanning activities and assist with regulatory change gap and impact analysis work to support the timely and effective implementation of new regulations. Work collaboratively with colleagues across Compliance, Legal, Risk, Operations, Underwriting, Distribution and International Offices to support the effective management of regulatory and conduct risk.