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Compliance Monitoring Officer

3 months ago

Liverpool, United Kingdom Sanderson Full time

Compliance Monitoring Officer

Salary: £39,785

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 Compliance Monitoring Officer to join us on this exciting journey. This involves providing internal and external stakeholders with an objective view of the effectiveness of regulatory controls across the business by undertaking aspects of the Compliance Monitoring Plan.

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

  • Undertaking allocated Compliance Monitoring assignments under minimum supervision to the required timescales and quality and in accordance with Diligenta's Compliance Monitoring Methodology.
  • Agreeing appropriate and cost-effective remedial management actions with relevant colleagues to address reported findings and, therefore, to meet regulatory obligations and deliver TCF compliant customer outcomes.
  • Tracking and reporting progress on remedial actions
  • Establishing and continuously developing formal/informal communication networks and effective working relationships with key internal and external stakeholders
  • Contributing positive ideas and experience to enhance the Compliance Monitoring methodology and professional working practicea

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 (e.g., 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.