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Compliance Monitoring Officer (Job Ref:6022)

Insurance | Monitoring | Permanent | £40,000 - £50,000 | South East

THE COMPANY:

 

Our client forms one of the UK subsidiaries of a global services company. The business provides back office services to the leading UK Life and Pensions firms.

 

THE RESPONSIBILITIES:

 

  • Support the development of a robust risk based annual Compliance Monitoring plan
  • Support the development of risk based annual Compliance Monitoring plans / activities to facilitate contractual monitoring requirements for clients
  • Undertake Compliance Monitoring reviews in accordance with best practice, covering scoping / fieldwork and sampling / reporting and action tracking
  • Attend Compliance Monitoring Management Relationship meetings as and when required
  • Produce effective reporting – including the production of suitable MI - of Compliance Monitoring activities to Operational Management, Senior Management and the Board
  • Produce effective reporting – including the production of suitable MI - of Compliance Monitoring activities to clients as appropriate to maximise the assurance provided by the company’s Compliance Monitoring programme
  • Undertake activities in addition to the Compliance Monitoring plan to maximise the assurance provided to the business and clients through Compliance Monitoring activities
  • Interface, as required, to the Internal Audit Team to enable the effective delivery of the company’s Internal Audit and Compliance Monitoring Plans
  • Undertake any other activity under the direction and guidance of the Head of Internal Audit or Chief Risk Officer to achieve departmental or corporate targets

 

EXPERIENCE REQUIRED:

 

  • Full FPC or CII qualification essential
  • Degree level education desirable
  • Good working knowledge of Compliance Monitoring activities and best industry practice
  • Good knowledge of FSA Handbook and other relevant legislation such as Data Protection Act
  • Experience of operating in a client facing environment and commitment to delivering a high quality service to clients
  • Relevant experience in compliance monitoring / internal audit within the Financial Services Industry

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