Senior Compliance Monitoring Officer

6 days ago


Liverpool, United Kingdom Diligenta Full time

**Salary**: From £37460-£46825

**Senior Compliance Monitoring Officer**:
**Salary**: £37,500 - £47,000 + benefits

Location: Liverpool
- Hybrid working

**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.

**The Opportunity**:
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 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.

**You'll be**:

- Leading on allocated reviews within Diligenta's annual Compliance Monitoring Plans on Diligenta's compliance with regulatory requirements, including Conduct Risk, and achievement of TCF compliant customer outcomes.
- Assisting with the development of the Annual Compliance Monitoring Plan and continuous improvement of the Compliance Monitoring Procedures.
- Assisting in developing Compliance Monitoring Officers by giving guidance and support and provision of feedback.
- Deputising for the Compliance Monitoring Manager at client meetings as required.
- 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
- Undertaking projects and other ad hoc activity as required.
- 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 practices
- Acting as an effective ambassador for the function, promoting a positive image of Compliance within Diligenta and with clients
- 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.

**The Perks**:

- 25 days holidays + 8 bank holidays
- Discretionary annual bonus
- Company pension scheme membership
- Gain professional accreditation on completion at no extra cost through our bespoke 24/7 professionally accredited online learning and development tools
- Access to our Confidential Helpline is available to be used by you and your family
- Develop your career through a wider global organisation of the TCS family



  • Liverpool, United Kingdom Recruit UK Full time

    **Job Title: Compliance Monitoring Officer** **Industry: Financial Services** **Location: Liverpool** **Salary: £40,000** **Job Ref: 7366** **Job Description:Compliance Monitoring Officer** Recruit UK are working on an excellent opportunity for a Compliance Monitoring Officer to join a well-established UK Wealth Management firm in Liverpool. This is...


  • Liverpool, United Kingdom Diligenta Full time

    **Salary**: From £40456-£50571 **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...


  • Liverpool, 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...


  • Liverpool, United Kingdom Page Personnel Finance Full time

    We are working with a financial services business in Liverpool to recruit a Compliance Monitoring Officer to join their compliance function. **Client Details** This is a growing banking organisation which supports SME businesses with access to funding and support their 'green' journey to become a net zero organisation. They offer a fantastic benefits...


  • Liverpool, United Kingdom Page Personnel Finance Full time

    We are recruiting to recruit a 10 month fixed term contract for a Compliance Monitoring Officer to join a successful team to support on a project. **Client Details** One of the region's most reputable businesses, the company has a long term vision to continue as a leader in its industry and continue growing through acquisition, digital transformation and...


  • Liverpool, United Kingdom Diligenta Full time

    **Salary**: From £31576-£39470 **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...


  • Liverpool, United Kingdom Clayton Davies Full time

    Overview: Our client is a growing Wealth Management firm who are looking for a Head of Compliance (SMF16) to join their compliance team. This role is vital for overseeing their compliance framework and ensuring that the firm meets all regulatory requirements set by the FCA. The successful candidate will lead a team of compliance professionals, fostering a...


  • Liverpool, United Kingdom Clayton Davies Full time

    Overview: Our client is a growing Wealth Management firm who are looking for a Head of Compliance (SMF16) to join their compliance team. This role is vital for overseeing their compliance framework and ensuring that the firm meets all regulatory requirements set by the FCA. The successful candidate will lead a team of compliance professionals, fostering a...


  • Liverpool, United Kingdom Castlefield Recruitment Full time

    **Senior Fire Compliance Officer - Social Housing - About The Client**: Castlefield Recruitment are currently working with a large national housing association who are looking to appoint a Senior Fire Compliance Officer, in a agile working capacity. **Senior Fire Compliance Officer - Social Housing - About The Role**: - Monitor the delivery of the Fire...

  • Compliance Officer

    7 months ago


    Liverpool, United Kingdom Broster Buchanan Full time

    Liverpool City Centre (Hybrid, 2 days per week) - Regulatory Compliance (FCA) - Circa £45,000 + Benefits Our Liverpool based client requires a Compliance Officer to join their small, but well-established team. **THE ORGANISATION** An exciting and growing organisation with some of the best talent in region, this is an attractive organisation to work...

  • Compliance Officer

    4 days ago


    Liverpool, United Kingdom Recruit UK Full time

    **Job Title: Compliance Monitoring Officer** **Industry: Financial Services** **Location: Liverpool** **Salary: £40,000** **Job Ref: 7366** **Job Description: Compliance Monitoring Officer** Recruit UK are working on an excellent opportunity for a Compliance Monitoring Officer to join a well-established UK Wealth Management firm in Liverpool. This is...


  • Liverpool, Liverpool, United Kingdom Fusion Talent Full time

    Job Title: Senior Compliance OfficerCompany Overview: Our client is a thriving business operating from 8 sites in the UK with a turnover of £500m+ per annum. They are renowned for their retention and development of staff.Salary: £42,000 - £45,000 + Training + ProgressionJob Description: We have an exciting opportunity for a Senior Compliance Officer to...


  • Liverpool, Liverpool, United Kingdom Accountable Recruitment Full time

    Senior Compliance OfficerWe are seeking a highly experienced Senior Compliance Officer to join our team in Merseyside. As a key member of our legal and governance department, you will be responsible for ensuring the company meets all legal and regulatory requirements, and providing guidance on the implementation of corporate transactions and group...

  • Compliance Officer

    7 months ago


    Liverpool, United Kingdom CEL Solicitors Full time

    **Job role: Compliance Officer** **Location: Liverpool City Centre** **Job Type: Permanent Full time** **Basic salary: £40,000 - £50,000 per year (DOE)** CEL Solicitors is one of the fastest-growing law firms in the UK. Having secured multimillion funding, we are on a huge growth trajectory and plan to be the UK’s number one consumer law firm that is...

  • Compliance Officer

    3 hours ago


    Liverpool, United Kingdom IDEX Consulting Ltd Full time

    Location: Remote with travel Sector: Financial Planning / Wealth ManagementType: Full-timeAre you a compliance professional with a Level 4 Diploma in Financial Planning?IDEX are currently working with a financial planner in their search for a Compliance Officer, you will play a critical role in ensuring regulatory excellence, conducting file reviews, and...


  • Liverpool, Liverpool, United Kingdom Aspire Recruitment Full time

    Job DescriptionWe are seeking a highly skilled Senior Compliance Officer to join our team at Aspire Recruitment.In this role, you will be responsible for ensuring our compliance, governance, and HR functions are operating effectively and efficiently.Key Accountabilities:Implementing and maintaining compliance policies and proceduresProviding expert advice on...


  • Liverpool, Liverpool, United Kingdom Fusion Talent Full time

    Role SummaryFusion Talent invites applications from experienced professionals for the position of Senior Compliance Officer. This is a full-time and permanent role based in Liverpool, with a competitive salary range of £42,000 - £45,000, plus benefits.The successful candidate will be responsible for managing and developing the company's Integrated...

  • Compliance Officer

    7 months ago


    Liverpool, United Kingdom NECSWS Full time

    **Company Description** Come join us and make a difference in the world! Company Description Come join us and make a difference in the world! We’d love your help. And we’ll support you all the way. **Job Description**: We are looking for a highly self motivated individual to join our team of Compliance Officers. With ownership of a large area of the...

  • Compliance Officer

    7 months ago


    Liverpool, United Kingdom NEC Software Solutions Full time

    Company Description Come join us and make a difference in the world! **Job Description**: Company Description Come join us and make a difference in the world! We’d love your help. And we’ll support you all the way. **Job Description**: We are looking for a highly self motivated individual to join our team of Compliance Officers. With ownership of a...

  • Compliance Officer

    4 days ago


    Liverpool, United Kingdom Communisis Full time

    **ABOUT US** Communisis is in the business of marketing services. We optimise marketing activities by adding value to customer and prospect communications, online and offline. We work with our customers on the planning, creation and delivery of their marketing communications and POS material. Communisis has built its organisation to deliver on this, with a...