Conduct Risk Analyst

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Job description

Responsibilities:

Helping to ensure the underwriting and issuance of all forms of open market and delegated

underwriting business are carried out in accordance with the company's conduct protocols and

procedures and in line with the requirements of the FCA and Lloyd's Customer Standards

(MS9), to include:

• Assist Senior Conduct Analyst in overseeing all conduct operational controls and their

adherence. Where required, help design, and implement new controls into the

framework

• Assist Senior Conduct Analyst in carrying out Conduct reviews on new and renewal

business and ensuring it is documented accordingly.

• Produce required Conduct MI packs for management review. Where required, work

with the DA Team to obtain Conduct MI from third-parties for inclusion in Management

Conduct pack

• Assess the metrics and outputs holistically across the DA distribution channel and

Open Market business, identifying any trends or systemic issues or failures in the company's

abilities to meet regulatory standards

• Support Senior Conduct Analyst in collating relevant data in a condensed manner

ready for inputting into regulatory returns

• Building and maintaining a strong working relationship with the Senior Conduct

Analyst, DA Analyst and more generally, the wider Delegated Underwriting team.

• Review and where required circulate relevant Lloyd's / LMA conduct and complaints

bulletins and information to stakeholders

• Where required, attendance at team and/or market Conduct and Complaints meetings

January 2022

• Assisting in developing a positive conduct and complaints handling culture in the

company, as well as those we delegate authority to.

• Where required, assisting the Senior Conduct Analyst and DA Analyst with reviewing

and responding to all complaints, making sure all communications sent are in

accordance with relevant deadlines and contain the appropriate wording.

• Help update and work on building out procedural and policy documentation needed to

meet FCA, Lloyd's expectations and audit action points.

Other:

• Ad-hoc projects as determined by the Senior Conduct Risk Analyst and/or Head of

Compliance

• Strong analytical and more specifically MS excel skills is important, as well as

preferably a working knowledge of Power BI or a similar reporting tools.