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Senior Compliance Analyst (Lloyds Underwriting Agency)

Company: Tony Massenhove
Job Ref: SnrCompAnal/TM
Start Date: ASAP
Hours: Full Time
Working Term: Permanent Position
Salary: Advised on application


Job Title: Senior Compliance Analyst (Lloyds Underwriting Agency)

Location: London, EC3

Salary: Circa £50,000

Main Purpose of Job:

To support the Director of Risk & Assurance with the responsibilities and functions in relation to compliance for the group. To ensure that any material compliance problems identified are brought to the attention of the Director of Risk and Assurance. 

Key Tasks:

Compliance exception testing, follow up and reporting, (including over-lining, Multi Year Polices, NOCs, re-signings, compliance with franchise guidelines and SPS cessions.)

TOBA: Arrangement, cancellation, recording and replacement of broker Terms of Business Agreements

Licence compliance

Provision of advice to underwriters and claims staff, including advice to ensure appropriate wording/insurance documentation.

Regulatory Returns

Advice on preparation of, and compliance testing and signoff of certain Lloyd’s and other regulatory returns (including ATIA (FSL), GAREAT, TRIA, IID, China, India.

Complaints handling

Co-ordinate and implement procedures for the receipt, documentation and reporting of complaints and undertake root cause analysis.

Financial Crime

Sanction checking, review, follow up and reporting.

Financial crime review, testing and reporting

Broker remuneration reporting

Conduct risk

Preparation of conduct risk summary report for the Coverholder Committee

Monitoring Syndicate conduct risk profile

Operations monitoring

Monitoring and reporting underwriting activities, including NOCs, the issuance of provisional cancellation notices, policy re-signing and contract certainty

Key Technical Skills/Knowledge/Professional Qualifications Required:

Essential - Lloyd’s of London Market experience required in a compliance role. Preferably within an underwriter

Strong IT Skills, ideally with advanced Excel and Word/PowerPoint

Preferred - ACII qualified or progressing towards qualification

Ideally degree educated but not essential


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