Senior Compliance Analyst

il y a 2 semaines

Luxembourg, Luxembourg Liberty Specialty Markets Temps plein

General information:

Country:
Luxembourg

Creation Date:12-Mar-2024

Employment Type:
Permanent

Employment Type:
Full time

Ref #:

Description & Requirements:

Role Title:
Senior Compliance Analyst

Department:
Compliance

Division:
Risk and Compliance

Location:
London

Type:
Permanent

Regulated Role - Conduct/Certified/

Senior Manager:
Conduct

About the Role:

The Senior Compliance Analyst will play an integral role in the management of LSM's compliance risks.

The individual will work within LSM's Compliance function and will support the Head of Compliance, members of the Compliance team as well as wider business on various compliance matters.


About the Department & Team:

  • Vision: To help people to make effective risk based, disciplined decisions doing the right thing_


The LSM Compliance Function is a key part of LSM's internal control framework predominantly within the second line of defence.

The role and responsibilities of the LSM Compliance Function includes:

  • Establishing an open and constructive relationship with LSM's regulators (and supervisory bodies). Coordinating and managing this relationship with including, but not limited to, the Prudential Regulation Authority, the Financial Conduct Authority and Lloyd's;
  • Providing advice to the LSM governing bodies on compliance with applicable laws and regulations, and providing advice to the business, for example in the form of policies and procedures or written updates, in relation to applicable laws and regulations;
  • Assessing the possible impact of any regulatory development on the operations of the business and working with the business with regard to compliance;
  • The identification and assessment of compliance risk, and the development and oversight of an appropriate framework to ensure the management of compliance risk;
  • Such a framework will include assessing the adequacy of the measures adopted by the business to prevent noncompliance including monitoring to ensure these procedures are being adhered to;
  • Ensuring that LSM's Compliance Strategy is in line with its broader strategic objectives.
  • Working with the business to assess new opportunities and ensuring appropriate control frameworks are established;
  • Working closely with Liberty Mutual Group Compliance & Ethics to ensure that the LSM compliance framework is consistent with the framework in place for the Liberty Mutual Group;
  • Reporting to the LSM governing bodies in relation to the management of compliance risk including the provision of all relevant management information to allow key decision making to be undertaken;
  • For a number of compliance and conduct processes, act as the point of contact for the business for all reporting;
  • Working with HR, develop and implement relevant and timely compliance education and training to all LSM colleagues.

Key Responsibilities

  • Working as a member of the LSM Compliance Function's Advisory and Assurance Pillar in undertaking its responsibilities outlined above.
  • The Senior Compliance Analyst will be expected to represent the Compliance Function at certain governing body meetings, reporting on compliance matters and participating in executive management matters.
  • The Senior Compliance Analyst will effectively contribute to putting in place, and the delivery of, an effective compliance monitoring program (included within the Compliance Plan) across LSM businesses and locations. This will include participating in day to day monitoring activity such as ensuring all regulatory deadlines are met.
  • Assisting in the oversight of compliance processes to ensure appropriate advice in relation to regulatory matters is provided to the business in an effective and efficient manner.
  • Assisting in the oversight of due diligence for a variety of new business opportunities and verify a range of controls across existing operations.
  • Assisting on the Compliance Function's oversight and assurance of the Conduct Risk framework and associated procedures.
  • Assisting on the Compliance Function's oversight and assurance of the Financial Crime framework and associated procedures.
  • Supporting the Head of Compliance in managing the regulatory relationship with LSM's key regulators including the PRA, FCA and Lloyd's (and relevant overseas regulators).
  • Participating in the delivery of an effective LSM compliance training program.
  • Assisting the Compliance Officer in supporting and guiding more junior members of the Advisory and Assurance team.
  • Work closely with the Compliance team and other relevant stakeholders to deliver change projects effectively and efficiently.
  • Support the Head of Compliance in the management of the relationship with Liberty Mutual Group Compliance & Ethics department.
  • Lead on and effectively contribute to allocated workstreams and projects to deliver outcomes in line with agreed deadlines, escalating issues promptly.
  • Provide concise

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