Senior Compliance Monitoring Officer

3 weeks ago

Bristol, United Kingdom Sanderson Recruitment Plc Full time

Senior Compliance Monitoring Officer

Salary: £50,571

Location: Liverpool, Basingstoke, Bristol

Who are Diligenta?

Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as 'home' by existing employees, we drive a culture that is founded on positive change and development.

Summary of the role

Due to continual growth, our Compliance and Governance function is now looking for a Senior Compliance Monitoring Officer to join us on this exciting journey. This involves leading reviews on Diligenta's compliance with regulatory requirements, including Conduct Risk, and achievement of TCF compliant customer outcomes.

You will also be responsible for assisting the with the development of the Annual Compliance Monitoring Plan and improving the Compliance Monitoring Procedures

Benefits

  • 33 days including Bank Holidays
  • Eligibility for an annual discretionary bonus scheme
  • Personal and career development opportunities to progress your aspirations within the company as well as through our global parent company (Tata Consultancy Services)
  • Access to Perks at Work (an online discounted shopping platform) saving you money on a wide range of goods and services, including your weekly food shop, holidays and electrical goods
  • Cycle to Work Scheme & Interest free Season Ticket loans
  • A companywide Wellbeing programme, including an Employee Assistance Programme and other benefits/resources to support your mental/physical and financial wellbeing
  • A comprehensive set of Moments that Matter policies, such as Carer's Leave, Foster Leave and Retirement Leave
  • A contributory company pension scheme where we match your contributions up to 6%, Group Life Assurance ('Death in Service") & Group Income Protection
  • Apply to find out about our other benefits

What you'll be doing

  • Perform peer reviews on Compliance Monitoring Reviews conducted by colleagues and provide constructive feedback prior to submission to QA Manager
  • Deputising for the Compliance Monitoring Manager at client meetings as required.
  • Establish and continuously develop formal/informal communication networks and effective working relationships with key internal and external stakeholders
  • Contribute positive ideas and experience to enhance the Compliance Monitoring methodology and professional working practices
  • Act as an effective ambassador for the function, promoting a positive image of Compliance within Diligenta and with clients
  • Track and report progress on remedial actions

What we're looking for

  • Have a good understanding of the regulated environment, including awareness of FCA (particularly Conduct Risk and TCF), DPA and AML requirements and other regulations relating to UK life and pensions business (eg, HMRC and tpr)
  • Understand business and how to develop a deep understanding of its needs, stakeholders and processes to ensure robust compliance.
  • Can demonstrate strong influence skills and communication to develop connections across business units.
  • Demonstrate examples of developing solutions and then implementing and monitoring them.

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