Compliance Analyst

Bruin Financial

Ref: 29071

This role is made for an individual who is looking to begin a career in Compliance.

Working for a lead independent Lloyd’s Insurance Broker the role comprises of three key aspects:

• To work with the Compliance team and maintain the Department’s records & administrative requirements

• To monitor & report, as the 2nd Line of defence, on the adherence of the business to the policies, procedures and systems & controls in place to ensure regulatory compliance

• To provide guidance, support & advice to staff and managers on regulatory & compliance matters

 

Some Key Responsibilities & Accountabilities are outlined below:

• Conducts compliance monitoring

• Oversight and administration of licensing requirements

• Assists with regulatory and audit visits

• Maintains the Compliance area of the intranet

• Conducts required regulatory administration, online or manually

• Completes regulatory returns

• Maintains a regulatory Calendar to aid the Team with planning & oversight of key regulatory matters

• Oversight and maintenance of Compliance Registers

• Assist with Compliance projects as required

• Oversight and maintenance of online training facilities

• Adhere to company and regulatory policies, procedures together with mandatory training requirements.

If you are keen to learn more, please submit a CV AND COVER LETTER outlining 'Why Compliance' ASAP.

 

Bruin recognises the positive value of diversity, and aims to promote equality and challenge unfair discrimination. As a champion of equal opportunity employment we welcome applications from all suitably qualified persons – men and women, people of all ages, sexual orientations, nationalities, religions and beliefs. We particularly encourage applications from women, disabled, and Black, Asian and minority ethnic candidates as these groups are underrepresented throughout the financial services industry. Our clients work with us because they value a diverse workforce, and subscribe to our shared principle that all appointments are made on merit and that ability to perform the job will be the primary consideration.

Thomas.Cubitt

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