Key accountabilities

1 Monitoring and audit execution

Execute the monitoring and audit plan set by the compliance managers, across whichever verticals and channels are assigned.
Carry out checks to a documented method and an unbiased sampling basis, without prior notice to the teams being sampled where the check requires it.
Assess against the requirement — script adherence, disclosure, consent, data accuracy, product and pricing accuracy — rather than against general impressions of quality.
Sustain accuracy across repetitive review work, using a method rather than relying on concentration.

2 Registers, records and evidence

Maintain the registers and records supporting the assigned area — accurately, completely and consistently.
Retain working papers, samples and supporting records to a standard that would survive a retailer audit or a regulator's file request.
Classify and record matters correctly at the point of intake, because a record classified wrongly at the start is invisible to analysis later.
Keep data clean enough to support trend and root-cause analysis, not only case tracking.

3 Product, script and disclosure review

Review scripts, disclosures, journeys, calculators, rates, fees and marketing content for accuracy and for compliance with the applicable requirement.
Check that mandatory disclosures appear at the right point and are not defeated by design.
Support pre-release checks before a product, plan, campaign, partner or system change goes live.
Provide subject-matter depth in an assigned product vertical, and be prepared to pick up another.

4 Complaints and incident support

Support complaint and incident intake, classification, tracking and closure, including matters referred by partners.
Track deadlines and service levels, and escalate before expiry rather than after.
Assemble evidence packs supporting responses to counterparties, schemes and regulators.
Recognise immediately which matters cannot wait — customer harm, vulnerability, or a potential privacy or reportable breach — and escalate them straight away.

5 Escalation and reporting

Report findings clearly and specifically enough to be acted on without a follow-up conversation.
Flag patterns observed during routine work rather than waiting for them to appear in a monthly report.
Escalate anything involving customer harm, vulnerability or a potential breach immediately.

Compliance Analyst