Arthur is working with a Lloyds syndicate that are currently looking for a Compliance Analyst to join their established team. The Compliance Analyst will be engaged in all aspects of their compliance activities, carrying out regular compliance tasks and ensuring that appropriate records are maintained. This is an excellent opportunity for someone with prior compliance experience to further expand their skillset within a high performing Lloyds Syndicate.
Duties
Sanctions screening – review matches and, where necessary, escalate results.
Sanctions enquiries, including assisting with referrals from Underwriting / Claims.
Review and analysis of regular exception reports, querying relevant transactions and escalating as appropriate.
Anti-bribery – maintain register and central records, assist with approvals.
Lloyd’s licensing – responding to referrals from Underwriting / Claims.
Conduct risk – maintain register, reporting and fair value assessments.
Complaints handling – including liaising with internal and external parties.
Broker approvals - due diligence and assisting with drafting of TOBAs.
ELTO – weekly batch tracing.
Monitoring regulatory communications and deadlines and ensuring that these are properly communicated to affected staff.
Requirements
Some relevant exposure to sanctions screening and/or financial crime issues.
Lloyd’s experience an advantage but not essential.
General understanding of PRA and FCA rules, standards, and expectations.
Proficiency in Word, Excel, PowerPoint.
Good written and oral communication skills.
Approachable, analytical, attention to detail, diligent, persistent.
Demonstrateing initiative, taking ownership.
Working well in a team and building strong relationships with colleagues.
Strong organisational skills with the ability to balance competing priorities sometimes under hard deadlines.
Asking for assistance/seeking advice where necessary/appropriate.
