Compliance Assistant

Emerald Group
London, UK
Competitive Salary
14 Aug 2019
13 Sep 2019
Contract Type
Full time, Permanent

Job Purpose:

Assisting with the administrative day-to-day work relating to the oversight of all third-party arrangements and the general running of the Compliance Department.

Key Responsibilities:

  • To assist with the facilitation of the due diligence, monitoring and auditing of delegated underwriting and delegated claims arrangements as well as the vetting of intermediaries
  • To review the Lloyd’s Atlas accounts on a quarterly basis for all Lloyd’s, lead cover holders and assist with the ongoing review of Lloyd’s system-generated tasks
  • To work alongside the existing Compliance Assistant and the Delegated Authority Analyst to maintain the Customer Relationship Management (‘CRM’) system, housing a central database for all third parties
  • To perform monthly dun & bradstreet checks via CRM on all third parties
  • To ensure that all correspondence relating to the audits of third parties are accurately recorded within the CRM system and to ensure that this information remains up to date
  • To run CRM reports on third party statistics for inclusion within the reports produced for the Product Governance and Distribution Committee
  • To assist in the continuing development of the CRM system to ensure that it remains an effective third-party oversight system
  • To be responsible for the management of the Compliance Intranet pages
  • To liaise with the Head of International Compliance to produce Agendas for monthly Compliance meetings
  • To effectively and punctually produce minutes for the monthly Compliance meetings and circulate the minutes to the team ahead of the next meeting
  • To circulate market updates and guidance, as necessary, to business units within the company on compliance with regulatory and Lloyd’s requirements
  • To provide co-ordination support for internal audit reviews, where required
  • To complete ad hoc tasks as requested by the Compliance Officer or Head of International Compliance
  • Build and maintain a strong relationship with all business units

Skills and Experience Specification:


  • Strong organisational and workload management skills with excellent attention to detail;
  • Experience in a similar role
  • Computer literate with knowledge of Microsoft Office products, i.e. Word and Excel
  • Strong analytical, written and communication skills
  • Ability to communicate effectively with individuals at all levels of the business in a confident and professional manner
  • Hard working, diligent and a quick learner


  • Experience within the Insurance and Lloyd’s Market
  • Strong due diligence and investigative skills

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