2 Senior Compliance Analyst Jobs

Compliance/Senior Compliance Analyst opportunity working with a rapidly growing Lloyd’s MGA. Reporting into the Compliance Manager, you will support the Compliance team in its day-to-day activities in support of the business and its managed Syndicate. Key Responsibilities: Support the … delivery of the compliance plan including advisory, monitoring, reporting and regulatory activities. Review and analyse/report on regulatory changes. Assist in the monitoring and reporting of conduct risk exposure including treating customers fairly/Consumer Duty, product oversight and complaints. Assist with the dealing of complaints, including liaising … with the claim’s teams, coverholders/TPAs, Lloyd’s, LIC and the Financial Ombudsman Service as appropriate. Assist in the delivery of compliance monitoring activity. Review and report monthly on the performance of each underwriting team in meeting contract certainty, sanctions and licensing standards. Assist the team in more »

THE COMPANY: Our client is a leading, dynamic financial services and Brokerage company. They are seeking a Senior Compliance Analyst to join the expanding team in London. Candidates will ideally have FX Broker generalist experience. THE RESPONSIBILITIES: Preparation and review of documentation for high-risk clients, escalating … required; Assisting with review and investigation of internal SARs and STORs; Daily monitoring of transactions in respect of AML and MAR Assisting with ongoing Compliance Monitoring Program obligations, such as Best Execution, Onboarding reviews, call monitoring, financial promotions etc and Complaints’ handling; Assisting with, and providing advice to other … any regulatory matters including AML/CDD, MAR, MiFID II, SMCR, PRIIPs; Development and management of accurate data analysis to enable the Head of Compliance to report to the Executive Committee and Board on key risks, issues and actions taken; Assisting in the preparation of quarterly reports; Development and more »