About the 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.
Key Responsibilities
* 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.
Skills, Knowledge & Expertise
* Experience in compliance within an FCA-regulated environment (insurance/Lloyd’s preferred). * Working knowledge of SM&CR and AR regimes. * Progress toward a relevant professional qualification (e.g., ICA, CISI, CII) desirable. * Working knowledge of territorial licencing requirements a plus. * Strong organisational and planning skills, with the ability to manage multiple priorities. * Excellent written and verbal communication skills. * Proactive, detail-oriented, and adaptable to changing requirements. * Ability to build and maintain effective working relationships across teams. * Competent user of Microsoft Applications (including Co-Pilot, Outlook, Word, Excel, and PowerPoint), with an aptitude for leveraging technology and AI to improve compliance processes.
Why Asta?
At Asta, you’ll enjoy a market-leading benefits package that puts your wellbeing, career development and financial future first. We combine flexible working, strong family-friendly policies and exceptional rewards to create a supportive, inclusive and high-performing workplace.
Our benefits include: Work-life balance you can rely on * 35-hour working week with hybrid and flexible working * Generous holiday allowance that increases with service
Your health & wellbeing covered * Private medical insurance with virtual GP access * Annual health screening, dental cover and eye care * Subsidised gym or sports club membership
Support for you and your family * Enhanced maternity, paternity, adoption and shared parental pay
Rewarding your contribution * Highly competitive pension with up to 13% employer contribution * Life assurance and income protection * Discretionary annual bonus scheme * Interest-free season ticket loan and salary sacrifice schemes