ABOUT THE ROLE:

We are seeking a Senior Practice Assurance Analyst to support our internal compliance function. This is a key role that ensures we meet our regulatory obligations while continuing to maintain high standards of professional excellence across our group. You will work closely with our operational teams, support the development of internal policies, and liaise directly with external regulators including the relevant regulatory bodies.
You will be responsible for the preparation and oversight of regulatory submissions, tracking compliance processes, responding to internal queries, and contributing to a strong culture of compliance and good governance.

KEY RESPONSIBILITIES:

• Preparation of regulatory submissions to the relevant regulatory bodies in a timely and accurate manner.
• Management and oversight of a tracker for all regulatory submissions, escalating issues as necessary.
• Liaison with internal operational teams and external regulators to ensure effective communication and resolution of queries or compliance issues.
• Oversight and monitoring of complaints, supporting timely investigation and resolution.
• Responding to internal compliance queries and supporting teams with interpretation and application of compliance policies.
• Assisting in the development and implementation of internal compliance policies and procedures.
• Conducting internal compliance audits and practice reviews, reporting findings, and supporting continuous improvement.