Senior Compliance Analyst

Asta Capital Limited

Greater London

Hybrid

GBP 55,000 - 75,000

Full time

45 hours ago

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Benefits offered by this job

Private medical insurance

Annual health screening

Dental cover

Eye care

Subsidised gym membership

Pension with employer contribution

Discretionary annual bonus

Hybrid & flexible working

Job summary

Asta Capital Limited is seeking a Senior Compliance Analyst to support Regulatory Affairs & Conduct. The role emphasizes regulatory change, SMCR/AR regimes, MI reporting, and e-learning within a collaborative, cross-functional Compliance team.

You will be the compliance lead for a portfolio of clients, liaising with FCA processes and ensuring robust governance while supporting onboarding, due diligence, and ongoing monitoring activities.

Qualifications

Experience in compliance within an FCA-regulated environment is essential.
Working knowledge of SM&CR and AR regimes.
Progress toward a professional qualification (e.g., ICA, CISI, CII) desirable.

Responsibilities

Ensure timesheets are completed accurately and authorised within deadlines.
Support onboarding, due diligence and ongoing monitoring of ARs, FCA notifications and AR reviews.
Support AR framework submissions with the FCA for SMCR, maintaining AR/SM registers.
Assist Senior Compliance Manager with SM&CR, conflicts of interest management.
Administer the compliance e-learning programme and track completions.
Collate data for KRIs and MI and produce dashboards for governance forums.
Assist with horizon scanning and regulatory updates as directed.
Respond to compliance queries and escalate complex matters as needed.
Act as designated compliance client-lead for allocated portfolio of clients.
Collaborate with other Compliance leads to deliver cross-functional initiatives.

Skills

FCA-regulated compliance

SM&CR knowledge

AR regimes

Progress toward professional quals

Territorial licensing knowledge

Organisational & planning

Written & verbal communication

Proactive & detail-oriented

MS Office + AI tooling

Tools

Microsoft Office

Co-Pilot / AI in compliance

Job description

Application Deadline

1 November 2026

Department

Compliance

Location

London UK

Description

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.
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, escalating 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 licensing 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.

Work-life balance you can rely on