Analyst, Regulatory Compliance

Job Purpose

To support the regulatory compliance work of the GRC team. This role covers several key areas including, but not limited to: risk assessment, on-boarding due diligence and corporate actions. The role requires a working level of FPS compliance knowledge as well as attention to detail, organisational skills and proven team working ability.

Hampden Group

Hampden is a leading provider of specialist insurance, investment and financial support services. It has grown to become the largest provider of Members' Agency services in the Lloyd's insurance market.
Hampden is a family owned group, focusing on the London market and international insurance and financial services sector. We manage in excess of £2.3 billion of client assets per year into the London market, making us the pre-eminent investor in the market.
Its key areas of operation are in Lloyd's Members' Agency services, underwriting, insurance company administration, bespoke Run-Off insurance management, audit, tax and consultancy services.

Main Job Objectives

All HAL staff strive to make an active contribution as a member of the team and department in which they work. High-level expectations of this role are as follows:-

1. To support file reviews and other work relating to governance, risk and compliance matters.
2. To progress corporate actions and other change of control applications, liaising with internal and Lloyd’s teams, as appropriate.
3. To undertake project work including thematic reviews, in line with the annual plan and risk register, and produce reports with recommendations.
4. To assist the GRC team with project work and undertake analytical review work as directed and in line with the Lloyd’s and firm’s Business Timetables.
5. Support the updating of the firm’s Risk Register and risk reporting.
6. To stay current with all Lloyd's and FCA rules and initiatives and ensure they are implemented in day-to-day working practice.
7. To support the production and circulation of Management Information as requested.
8. To ensure that all Lloyd's and FCA rules and initiatives are noted in the central running log and implemented in day-to-day work practice.
9. To report internally on specific regulatory compliance developments and emerging issues;
10. To prepare reports run from the firm’s business systems and to brief team and other staff members where required.
11. Maintain the GRC policies and procedures manual and intranet page;
12. To engage and support with the regulatory exercises and respond to queries raised.
13. To be pro-active and engaged; and to perform additional tasks as requested or directed.
14. Attend internal meetings and working parties
15. To ensure that all duties are undertaken promptly and professionally.

Interaction

• With all member of the GRC team
• With all members of staff as appropriate and also with Lloyd's staff as appropriate.

Essential Requirements

Knowledge of the regulatory compliance environment and eagerness to learn and work in a face-paced, dynamic environment.

Desirable Requirements

• Compliance or related qualification
• Analytical, methodical, systematic with attention to detail.
• Ability to use Microsoft office products and after training, how to use the firm’s IT platform effectively.
• Team working and flexibility.
• Ability to produce clear and concise working papers and audit trails.
• Good communication skills and confidence to approach senior staff in a small company environment.
• A working knowledge of the Lloyd's and London Market
• Interest in keeping abreast of current risk, regulatory and compliance issues, to be able to deputise for Compliance Manager, as appropriate.