Compliance Monitoring Specialist

1 week ago

Basildon, United Kingdom SS&C Technologies Full time

About SS&C Technologies


Maximise your chances of a successful application to this job by ensuring your CV and skills are a good match.

SS&C is a global provider of investment, financial services and software for the financial services and healthcare industries. Named to Fortune 1000 list as top U.S. company based on revenue, SS&C is headquartered in Windsor, Connecticut and has 20,000+ employees in over 90 offices in 35 countries. Some 18,000 financial services and healthcare organizations, from the world's largest institutions to local firms, manage and account for their investments using SS&C's products and services.

Role purpose

Be a trusted business partner with the capacity to get things done, through persuasion, collaboration and effective communication. You will deliver the compliance monitoring plan, to an agreed timetable. From time-to-time, you may be called upon to support the Compliance team on other activities.

Key responsibilities

Undertaken business intelligence to scope out / prepare compliance monitoring terms of reference and set up a plan for delivery of agreed monitoring reviews. Conduct regular monitoring reviews and thematic monitoring reviews; undertaking the fieldwork, recording evidence and reaching conclusions on the effectiveness of controls. To draft, deliver and agree monitoring reports with key business stakeholders. To on agreed management actions to closure. Produce a monitoring report; draft report findings / conclusions and agree management actions with the key business stakeholders. Track (record, monitor and report) management actions to satisfactory conclusion. Promote a strong compliant culture within the business.

Standards

  • Deliver activities to agreed target dates
  • Deliver activities to high standards and accuracy of data and information
  • Complete required continued professional development (CPD)
  • Comply with company policies and procedures
  • Behaviours as set out in the company handbook and culture, mission and strategy document

Essential skills

  • Able to work independently, with minimal supervision.
  • Able to prioritise & work to strict deadlines.
  • Attention to detail.
  • Strong written and verbal communication skills.
  • Good stakeholder management, at all levels.
  • Able to persuade and influence.
  • Good numeric skills.
  • Able to problem solve.
  • Good knowledge of Microsoft Excel, Word and PowerPoint.

Qualifications

  • 5 GCSE’s Grade A - C (must include Mathematics and English)
  • Completion or working towards the Investment Operations Certificate (IOC)

Experience

  • Compliance monitoring experience.
  • Fund operations (UCITS / AIFS) experience
  • Good knowledge of FCA CASS handbook rules

Personal Qualities

  • Work collaboratively as part of a team
  • Able to work under pressure
  • Positive attitude
  • Flexible and able to learn quickly
  • Friendly and approachable
  • Resilient
  • Ability to make a positive contribution to both the team and the Company
  • Interest in financial services

We encourage applications from people of all backgrounds and particularly welcome applications from under-represented groups, to enable us to bring a diversity of perspectives to our thinking and conversation. It's important to us that we strive to have a diverse workforce in the widest sense.

Unless explicitly requested or approached by SS&C Technologies, Inc. or any of its affiliated companies, the company will not accept unsolicited resumes from headhunters, recruitment agencies, or fee-based recruitment services.

Background Checks

All offers of employment at SS&C are subject to background verification checks, including 5-year employment history, proof of eligibility to work in the hiring location, proof of address, credit check and criminal record check (where permitted by local law). The accuracy of all information you submit as part of your application is vital and may be used as part of the background-checking process should you be successful.

  • Compliance Monitoring Specialist

    2 weeks ago

    Basildon, United Kingdom SS&C Technologies Full time

    About SS&C TechnologiesSS&C is a global provider of investment, financial services and software for the financial services and healthcare industries. Named to Fortune 1000 list as top U.S. company based on revenue, SS&C is headquartered in Windsor, Connecticut and has 20,000+ employees in over 90 offices in 35 countries. Some 18,000 financial services and...

  • Compliance Monitoring Specialist

    1 week ago

    Basildon, United Kingdom SS&C Technologies Full time

    About SS&C TechnologiesSS&C is a global provider of investment, financial services and software for the financial services and healthcare industries. Named to Fortune 1000 list as top U.S. company based on revenue, SS&C is headquartered in Windsor, Connecticut and has 20,000+ employees in over 90 offices in 35 countries. Some 18,000 financial services and...

  • Compliance Monitoring Specialist

    1 week ago

    Basildon, Essex, United Kingdom SS&C Technologies Full time

    Job Description About SS&C Technologies SS&C is a global provider of investment, financial services and software for the financial services and healthcare industries. Named to Fortune 1000 list as top U.S. company based on revenue, SS&C is headquartered in Windsor, Connecticut and has 20,000+ employees in over 90 offices in 35 countries. Some 18,000...

  • Compliance Monitoring Specialist

    2 weeks ago

    Basildon, UK, Essex, United Kingdom SS&C Technologies Full time

    About SS&C TechnologiesSS&C is a global provider of investment, financial services and software for the financial services and healthcare industries. Named to Fortune 1000 list as top U.S. company based on revenue, SS&C is headquartered in Windsor, Connecticut and has 20,000+ employees in over 90 offices in 35 countries. Some 18,000 financial services and...

  • Compliance Monitoring Officer

    2 months ago

    Basildon, United Kingdom Ford Motor Company Full time

    As part of the Ford family, you’ll have the chance to innovate, collaborate and bring your ideas to life whilst also developing your talent as a valued member of our team. You will find a culture of excellence, collaboration and focus - one where our employees feel personally and professionally valued, respected and able to bring their true self to work....

  • Compliance Monitoring Officer

    2 weeks ago

    Basildon, Essex, United Kingdom Ford Motor Company Full time

    As part of the Ford family, you'll have the chance to innovate, collaborate and bring your ideas to life whilst also developing your talent as a valued member of our team. You will find a culture of excellence, collaboration and focus - one where our employees feel personally and professionally valued, respected and able to bring their true self to work. So,...

  • Trade Compliance Specialist

    1 week ago

    Basildon, United Kingdom CNH Industrial Full time

    **COMPANY PROFILE** **PRIMARY FUNCTION**: Reporting to the EMEA Trade Compliance Manager this position has primary responsibility for supporting the Trade Compliance (TC) team within the EU region, especially with UK Import and Export regulations affecting our different businesses. This role will serve as a Trade Compliance Specialist to review, interpret...

  • Control & Monitoring Lead Specialist (PA2024295 )

    4 weeks ago

    Basildon, United Kingdom SS&C Technologies Holdings Full time

    Job Description Support the onboarding process (including Due Diligence) and ongoing oversight (including Due Diligence/Attestation) of Partner firms, DFM’s and third-party product providersOversee and maintain central Registers covering:-Partner Firms & Models being supported (with other appropriate detail)Business Operating Model...

  • Control & Monitoring Lead Specialist (PA2024295 )

    1 month ago

    Basildon, United Kingdom SS&C Technologies Holdings Full time

    Job Description Support the onboarding process (including Due Diligence) and ongoing oversight (including Due Diligence/Attestation) of Partner firms, DFM’s and third-party product providersOversee and maintain central Registers covering:-Partner Firms & Models being supported (with other appropriate detail)Business Operating Model...

  • Control & Monitoring Lead Specialist (Pa2024295)

    2 weeks ago

    Basildon, United Kingdom SS&C Full time

    SS&C is a global provider of investment and financial services and software for the financial services and healthcare industries. Named to Fortune 1000 list as top U.S. company based on revenue, SS&C is headquartered in Windsor, Connecticut and has 20,000+ employees in over 90 offices in 35 countries. Some 18,000 financial services and healthcare...

  • Call Monitoring Agent

    2 weeks ago

    Basildon, Essex, United Kingdom CCR Recruitment Group Full time £26,000

    Call Monitoring Agent - Call CentreLocation: RomfordSalary: Up to £26,000 (plus excellent benefits package)Hours: Monday - Friday - 40 hour working weekOur client is a fast-growing specialist in their field - they are currently in search for a strong Call Quality Assurance Officer who can bring their skills to the team and grow within the company. You will...

  • Certification Specialist

    1 month ago

    Basildon, United Kingdom Unknown Resourcing Full time

    Marine Legislation and Certification Specialist, Essex, £Competitive! + BenefitsMarine Legislation and Certification Specialist Responsibilities:Support the Marine team through the product certification process to interpret and comply with various global hydrogen and marine standards, including but not limited to, engine and hydrogen fuel storage and...

  • Certification Specialist

    2 weeks ago

    Basildon, Essex, United Kingdom Unknown Resourcing Full time

    Marine Legislation and Certification Specialist, Essex, £Competitive + BenefitsMarine Legislation and Certification Specialist Responsibilities:Support the Marine team through the product certification process to interpret and comply with various global hydrogen and marine standards, including but not limited to, engine and hydrogen fuel storage and...

  • Quality Assurance and Compliance Administrator

    2 weeks ago

    Basildon, United Kingdom St Luke's Hospice Full time

    **To have an informal chat about working for us or to discuss access requirements for disabled applicants contact the HR Team using the chat function on our careers page or calling 01268 524 973.**: We usually respond within a week **Join Our Team as a Quality Assurance and Compliance Administrator**: St. Luke's Hospice is at the forefront of providing...

  • Regulatory Compliance Specialist

    2 weeks ago

    Basildon, United Kingdom Pivotal Recruitment Ltd Full time

    Job responsibilities will include: Responsible for developing and implementing REACH programs to ensure compliance and business success Act as technical/RA expert on cross-functional projects Act as REACH expert and leader within RA Environmental Product compliance coding (RoHS / REACH) Project support - coordinating with manufacturing and engineering teams...

  • Regulatory Compliance Specialist

    2 weeks ago

    Basildon, United Kingdom Pivotal Recruitment Ltd Full time

    Job responsibilities will include: Responsible for developing and implementing REACH programs to ensure compliance and business success Act as technical/RA expert on cross-functional projects Act as REACH expert and leader within RA Environmental Product compliance coding (RoHS / REACH) Project support - coordinating with manufacturing and engineering teams...

  • Regulatory Compliance Specialist

    2 weeks ago

    Basildon, United Kingdom Pivotal Recruitment Ltd Full time

    Job responsibilities will include: Responsible for developing and implementing REACH programs to ensure compliance and business success Act as technical/RA expert on cross-functional projects Act as REACH expert and leader within RA Environmental Product compliance coding (RoHS / REACH) Project support - coordinating with manufacturing and engineering teams...

  • Regulatory Compliance Specialist

    2 weeks ago

    Basildon, United Kingdom Pivotal Recruitment Ltd Full time

    Job responsibilities will include: Responsible for developing and implementing REACH programs to ensure compliance and business success Act as technical/RA expert on cross-functional projects Act as REACH expert and leader within RA Environmental Product compliance coding (RoHS / REACH) Project support - coordinating with manufacturing and engineering teams...

  • Regulatory Compliance Specialist

    2 weeks ago

    Basildon, Essex, United Kingdom Pivotal Recruitment Ltd Full time

    Job Description Job responsibilities will include: Responsible for developing and implementing REACH programs to ensure compliance and business success Act as technical/RA expert on cross-functional projects Act as REACH expert and leader within RA Environmental Product compliance coding (RoHS / REACH) Project support - coordinating with manufacturing...

  • Regulatory Compliance Specialist

    2 weeks ago

    Basildon, United Kingdom Pivotal Recruitment Ltd Full time

    Job responsibilities will include: Responsible for developing and implementing REACH programs to ensure compliance and business success Act as technical/RA expert on cross-functional projects Act as REACH expert and leader within RA Environmental Product compliance coding (RoHS / REACH) Project support - coordinating with manufacturing and engineering...