Compliance Insurance Specialist

3 weeks ago


Romford, United Kingdom HCL Technologies Full time

Key tasks & responsibilities
- To undertake HCL IBS and clients Compliance Monitoring (CM) and Independent Quality Assurance (IQA) reviews in accordance with best practice, covering scoping / fieldwork and sampling / reporting and action tracking.
- To oversee offshore SME’s performing Compliance Assurance testing ensuring agreed standards are met and assurance can be placed on the outputs.
- To attend compliance relationship management meetings with our clients’ compliance and assurance functions, as required by the Compliance Manager
- To support relevant internal stakeholders to develop appropriate actions plans to address any compliance issues identified as part of the HCLIBS Assurance frameworks
- To support the development of risk based annual CM plans and the risk based monthly IQA sampling activities in order to facilitate contractual monitoring requirements for HCL IBS clients
- Through Assurance testing, identify coaching needs and liaise with Operations and Learning & Development teams to develop suitable remedial training plans to address identified issues.
- To oversee the provision of provide monthly management information both internally and to HCL-IBS’s clients on compliance assurance frameworks, including conducting trend and root cause analysis of identified compliance assurance issues.
- To produce and review departmental procedures.
- To assist in the development, introduction and completion of relevant projects / business solutions, as required.
- To undertake any other activity under the direction and guidance of the Compliance Assurance Manager or the Head of Compliance and Financial Crime to achieve departmental or corporate targets

**Salary**: £22,000.00-£24,000.00 per year

Schedule:

- Monday to Friday

Application question(s):

- Do you have any understanding of good Customer Outcomes?

**Experience**:

- Life & Pensions: 1 year (required)
- Customer Service: 1 year (required)

Work Location: In person

Reference ID: KON


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