RiverStone International
Senior Analyst - Compliance and Complaints
London
Posted about 15 hours ago
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Role Overview
To support the effective operation of the Compliance Function by overseeing complaints handling activities, monitoring conduct risk indicators, and ensuring compliance with UK and International Regulators including but not limited to: FCA, PRA, Lloyd’s, Lloyd’s Europe, APRA, MFSA.
The role provides assurance that conduct risk is appropriately identified, managed, and reported across the RiverStone Group.
Key Requirements
- Educated to Degree level or equivalent
- Experience working in a Compliance and/or Complaints function (company market and Lloyd’s experience).
- Strong understanding of complaint handling and ensuring appropriate resolution in line with regulatory expectations.
- Working knowledge of Lloyd’s Principles and particularly in relation to conduct and delegated authority oversight.
- Awareness of Data Protection legislation (e.g. UK GDPR) and its application to complaints handling.
- Experience in conduct risk monitoring, complaints handling oversight, and regulatory reporting.
- Strong analytical capability, with experience interpreting MI and identifying trends and root causes.
- Ability to engage effectively with stakeholders, including senior management, regulators, and third-party providers.
- High attention to detail, with strong organisational and documentation skills.
Key Responsibilities
Conduct Risk Framework
- Oversee the execution and ongoing enhancement of the Conduct Risk Framework, ensuring it remains robust, proportionate, and aligned with regulatory expectations.
- Ensure appropriate processes and procedures are in place to identify, assess, manage, and mitigate Conduct Risk across the business.
Policies, Procedures, and Documentation
- Ensure that all conduct and complaints-related policies, procedures, and supporting documentation are maintained, up to date, and reflect current regulatory requirements and best practice.
Complaints Oversight
- Oversee the handling of complaints, ensuring they are managed in line with regulatory requirements and internal standards.
- Ensure timely and accurate complaints reporting, including internal MI, regulatory returns, and reporting where applicable.
- Maintain effective oversight of outsourced complaints arrangements, ensuring third parties operate in line with expected conduct standards.
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Third-Party & Delegated Oversight
- Maintain relationships with Delegated Claims Administrators (DCAs) and other outsourced providers handling complaints.
- Oversee outsourced and external complaints handling relationships to ensure Conduct Risk exposures are identified and mitigated.
Regulatory Engagement
- Liaise directly with External Dispute Resolution (EDRs), including but not limited to - Financial Ombudsman Service (FOS), AFCA (Australian Financial Complaints Authority) OAFS (Malta Financial Services Authority) on escalated complaints.
- Support responses to regulatory enquiries, thematic reviews, and information requests.
Monitoring, Analysis, and Reporting
- Prepare and deliver high-quality management information (MI) and reporting to relevant governance forums, including trend analysis and root cause insights.
- Analyse conduct and complaints data to identify emerging risks, themes, and areas for improvement, and propose appropriate recommendations.
Regulatory Change
- Monitor developments in regulatory requirements relating to Conduct Risk, complaints handling, and consumer protection.
- Support the implementation of regulatory change, including drafting and embedding new processes, procedures, and controls.
Delegated Authority Oversight & Audit Support
- Support delegated claims audits, with a focus on Conduct Risk and complaints handling practices.
- Identify actions arising from audit findings and oversee their resolution, ensuring appropriate validation and closure.
Governance, Assurance & Accountabilities
- Provide second line oversight and challenge to ensure Conduct Risk is appropriately considered and managed within first line activities.
- Support governance forums (e.g. Delegated Authority Committees) through the provision of clear, concise and insightful reporting.
- Ensure that Conduct Risk exposures, emerging issues, and material complaints trends are escalated appropriately and in a timely manner.
- Contribute to the annual Conduct Risk assessment, including linkage to Consumer Duty outcomes and fair customer treatment.
- Maintain a robust audit trail of decisions, actions, and oversight activities to support internal audit and regulatory scrutiny.
- Support SMCR requirements by ensuring clear accountability, documented oversight, and adherence to Conduct Rules.
- Provide assurance that outsourcing and delegated arrangements operate within risk appetite and in accordance with regulatory expectations.
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Benefits
- Private Medical and Dental cover – Comprehensive Private Medical and Dental Insurance schemes with Bupa
- Health and Wellness – including access to our Employee Assistance Programme, Headspace subscription, Mental Health First aiders at each site, up to five funded counselling sessions per year, annual health check-up and eye test voucher
- Wellbeing Allowance – Can be used towards either physical or mental health wellbeing activities
- 25 days’ holiday per year – plus bank holidays and office closure on Christmas Eve. Holiday entitlement increases with length of service
- Bonus scheme – dependent on achieving individual, department, and company goals
- Pension – a non-contributory defined contribution pension scheme
- Life Assurance – provides a lump sum 10 x your salary
- Permanent Health Insurance Scheme – scheme pays benefits during a prolonged period of illness or disability lasting more than 26 weeks
- Parental Leave – Enhanced Maternity, Paternity and Shared Parental Leave policy
- Training and development – Company funding for professional qualifications that would be beneficial for your role
- Volunteering and charity – triple matching donations made independently or via our Give As You Earn scheme, Give A and two paid volunteering days per year to help give back to our local communities
- Cycle To Work Scheme – a tax efficient way to purchase a bicycle
- Interest Free Travel Loan – to assist with commuting costs
- Travel Insurance – business and personal travel
- Sports and Social – active sports and social committee that organizes subsidized events
Company Values
We encourage applications from everyone regardless of disability.
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Skills
Complaints Handling
Conduct Risk Monitoring
Regulatory Reporting
Stakeholder Engagement
Data Protection
Analytical Capability
Root Cause Analysis
Audit Support
Governance
Regulatory Compliance
Risk Mitigation
Policy Maintenance
Location