Senior Compliance Monitoring Officer

1 month ago

Bristol, United Kingdom Sanderson Full time

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 (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.

If you need any help or adjustments for any stage within the recruitment process due to health, disability, or any other reason, please let us know.

Ready to take the next step in your career? Apply today and become part of our innovative team

  • Senior Compliance Monitoring Officer

    1 month ago

    Bristol, Bristol, United Kingdom Sanderson Full time

    {"title": "Senior Compliance Monitoring Officer", "description": "About the RoleWe are seeking a highly skilled Senior Compliance Monitoring Officer to join our Compliance and Governance function. As a key member of our team, you will be responsible for leading reviews on our compliance with regulatory requirements, including Conduct Risk, and achieving TCF...

  • Senior Compliance Monitoring Officer

    1 month ago

    Bristol, Bristol, United Kingdom Sanderson Full time

    {"title": "Senior Compliance Monitoring Officer", "description": "About the RoleWe are seeking a highly skilled Senior Compliance Monitoring Officer to join our Compliance and Governance function. As a key member of our team, you will be responsible for leading reviews on our compliance with regulatory requirements, including Conduct Risk, and achieving TCF...

  • Compliance Monitoring Officer

    4 months ago

    Bristol, United Kingdom Diligenta Full time

    **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...

  • Compliance Monitoring Officer

    4 months ago

    Bristol, United Kingdom Diligenta Full time

    **Salary**: From £31828-£39785 **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...

  • Compliance Monitoring Officer

    4 months ago

    Bristol, United Kingdom Diligenta Full time

    **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...

  • Senior Compliance Monitoring Director

    2 weeks ago

    Bristol, Bristol, United Kingdom Atomos Investments Limited Full time

    Senior Compliance Monitoring ManagerAre you a seasoned compliance professional looking to take on a leadership role? We're seeking a highly skilled Senior Compliance Monitoring Manager to join our team at Atomos Investments Limited.About the RoleAs a Senior Compliance Monitoring Manager, you will be responsible for overseeing the Annual Compliance Monitoring...

  • Senior Compliance Officer

    4 weeks ago

    Bristol, Bristol, United Kingdom Giacom Full time

    Job Title: Senior Compliance Monitoring ManagerGiacom is a leading provider of technology solutions, connecting resellers and service providers to the best IT, Comms, and Cloud products and services. We are seeking a Senior Compliance Monitoring Manager to lead our regulatory compliance efforts globally.About the RoleThis is a hybrid working role, requiring...

  • Senior Compliance Officer

    4 weeks ago

    Bristol, Bristol, United Kingdom Giacom Full time

    Job Title: Senior Compliance Monitoring ManagerGiacom is a leading provider of technology solutions, connecting resellers and service providers to the best IT, Comms, and Cloud products and services. We are seeking a Senior Compliance Monitoring Manager to lead our regulatory compliance efforts globally.About the RoleThis is a hybrid working role, requiring...

  • Compliance Monitoring Director

    2 weeks ago

    Bristol, Bristol, United Kingdom Atomos Investments Limited Full time

    Senior Compliance Monitoring ManagerCareerThis is an exceptional opportunity for an experienced compliance professional to take on a leadership role. Ideal for those with a strong background in compliance or auditing and a proven track record of success.About the RoleAs the Senior Compliance Monitoring Manager, you will report directly to the Head of...

  • Compliance Officer

    3 weeks ago

    Bristol, Bristol, United Kingdom AJ FOX COMPLIANCE Full time

    Complaints AdvisorWe are seeking an experienced Complaints Advisor to join our team at AJ FOX COMPLIANCE. As a Complaints Advisor, you will play a critical role in ensuring compliance with regulatory obligations and policies.Key Responsibilities:Liaise with fee earners to investigate complaints and provide advice on complaints handling to ensure compliance...

  • Compliance Officer

    3 weeks ago

    Bristol, Bristol, United Kingdom AJ FOX COMPLIANCE Full time

    Complaints AdvisorWe are seeking an experienced Complaints Advisor to join our team at AJ FOX COMPLIANCE. As a Complaints Advisor, you will play a critical role in ensuring compliance with regulatory obligations and policies.Key Responsibilities:Liaise with fee earners to investigate complaints and provide advice on complaints handling to ensure compliance...

  • Compliance Officer

    3 weeks ago

    Bristol, Bristol, United Kingdom AJ FOX COMPLIANCE Full time

    Complaints Advisor RoleWe are seeking a skilled Complaints Advisor to join our team at AJ FOX COMPLIANCE. As a key member of our compliance team, you will play a vital role in ensuring our firm's regulatory obligations are met.Key Responsibilities:Liaise with fee earners to investigate complaints and provide expert advice on complaints handling.Advise on...

  • Compliance Officer

    3 weeks ago

    Bristol, Bristol, United Kingdom AJ FOX COMPLIANCE Full time

    Complaints Advisor RoleWe are seeking a skilled Complaints Advisor to join our team at AJ FOX COMPLIANCE. As a key member of our compliance team, you will play a vital role in ensuring our firm's regulatory obligations are met.Key Responsibilities:Liaise with fee earners to investigate complaints and provide expert advice on complaints handling.Advise on...

  • Compliance Officer

    2 weeks ago

    Bristol, Bristol, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance Officer - Regulatory ExpertWe are seeking a highly experienced Compliance Officer to join our team at AJ FOX COMPLIANCE. As a key member of our compliance team, you will be responsible for ensuring that our firm remains compliant with all relevant regulations and laws.Key Responsibilities:Liaise with fee earners to investigate complaints and...

  • Senior Compliance Director

    6 days ago

    Bristol, Bristol, United Kingdom Hays Senior Finance Full time

    Director of Compliance ServicesWe are seeking a highly ambitious ACCA/ACA qualified accountant to head up the compliance side of our firm in Bristol.Key Responsibilities:Lead the compliance team to ensure adherence to regulatory requirements.Develop and implement effective compliance strategies.Collaborate with senior management to drive business...

  • Senior Property Compliance Officer

    4 weeks ago

    Bristol, Bristol, United Kingdom Building Recruitment Company Full time

    Job Title: Senior Property Compliance OfficerLocation: BristolContact: PermanentHours: 37 hoursSalary: £39,459.00Key Responsibilities:Ensure compliance with policies and procedures in all aspects of property compliance, including issuing orders, data entry, and monitoring.Oversee the monitoring, analysis, and reporting of compliance performance for the...

  • Senior Property Compliance Officer

    4 weeks ago

    Bristol, Bristol, United Kingdom Building Recruitment Company Full time

    Job Title: Senior Property Compliance OfficerLocation: BristolContact: PermanentHours: 37 hoursSalary: £39,459.00Key Responsibilities:Ensure compliance with policies and procedures in all aspects of property compliance, including issuing orders, data entry, and monitoring.Oversee the monitoring, analysis, and reporting of compliance performance for the...

  • Senior Property Compliance Officer

    2 weeks ago

    Bristol, Bristol, United Kingdom Building Recruitment Company Full time

    Job Title: Senior Property Compliance OfficerLocation: BristolContact: PermanentHours: 37 hoursSalary: £39,459.00Key Responsibilities:Ensure compliance with policies and procedures in all aspects of property compliance, including issuing orders, data entry, and monitoring.Oversee the monitoring, analysis, and reporting of compliance performance for the...

  • Senior Property Compliance Officer

    2 weeks ago

    Bristol, Bristol, United Kingdom Building Recruitment Company Full time

    Job Title: Senior Property Compliance OfficerLocation: BristolContact: PermanentHours: 37 hoursSalary: £39,459.00Key Responsibilities:Ensure compliance with policies and procedures in all aspects of property compliance, including issuing orders, data entry, and monitoring.Oversee the monitoring, analysis, and reporting of compliance performance for the...

  • Senior Property Compliance Officer

    1 month ago

    Bristol, Bristol, United Kingdom Building Recruitment Company Full time

    Job Title: Senior Property Compliance OfficerLocation: BristolContact: PermanentHours: 37 hoursSalary: £39,459.00Key Responsibilities:Compliance and Governance: Ensure that all aspects of compliance are carried out in accordance with our policies and procedures, including issuing orders, data entry, and monitoring, as well as chasing certificates and...