About this role
- The role of the Senior Compliance Analyst supports the Regulatory Affairs & Conduct pillar in delivering compliance oversight and regulatory initiatives, with a key focus on regulatory change, Appointed Representatives (ARs) and SMCR regimes, KRI/MI reporting, e-learning and training.
- The successful candidate will act as a key point of contact for first-line queries, help embed good regulatory outcomes, and ensure robust administration and reporting across the pillar’s activities.
- Cross-functional collaboration across all compliance pillars and the wider Insurance Services division is expected to ensure seamless delivery of shared compliance initiatives.
- Ensure timesheets are accurately and diligently completed within the required timeframe.
- Manager’s only – in addition, ensure timesheets are authorised within the required timeframe.
- Support the onboarding, due diligence, and ongoing monitoring of ARs, including preparing FCA notifications and assisting with annual AR reviews and thematic checks.
- 2 Support the submission and ongoing compliance of the Appointed Representative (AR) framework and applications with the FCA for SMCR, maintaining accurate AR and SM registers and documentation.
- Assist the Senior Compliance Manager in delivering other activities in relation to SM&CR, and conflicts of interest management.
- Administer the compliance e-learning programme, including overseeing content updates, deployment, completions tracking (with support), and management information reporting.
- Collate and validate data for key risk indicators (KRIs) and management information (MI) from across the pillars, producing regular dashboards and reports for governance forums.
- Collate information required for submitting regulatory reports.
- Assist with horizon scanning, regulatory change logs, and the implementation of regulatory updates, as delegated by the Senior Compliance Manager.
- Respond to compliance queries from the business, escalating complex matters as needed and assist with policy reviews and updates.
- Act as the designated compliance client-lead for an allocated portfolio of clients: meet regularly with client contacts, manage expectations, escalate issues as appropriate, and provide feedback and insights to the wider compliance team to support continuous improvement and client satisfaction.
- Work collaboratively with other Compliance pillar leads and teams to ensure seamless delivery of cross-functional compliance initiatives and projects, fostering a culture of shared responsibility and mutual support across the Compliance function.
- Contribute to divisional compliance initiatives and support the development of a shared resource model across the wider Davies Insurance Solutions compliance division.