Compliance Monitoring Officer

1 month ago

Leeds, United Kingdom LifeSearch Full time

The Compliance Monitoring Officer is a brand new role for LifeSearch ensuring that we, and our Appointed Representatives, continue to meet all regulatory requirements.

Responsible for undertaking compliance monitoring reviews and assisting with the delivery of recommendations. Working alongside the Data Protection Manager, Compliance Manager and Compliance Officer to ensure effective oversight, and a joined-up approach.

The Compliance Monitoring Officer will ensure that all key tasks, as detailed in the Compliance Monitoring Plan, are completed diligently, impartially and in a timely fashion. This will include undertaking Compliance Reviews and Monitoring activities in accordance with the timetable set out in the Compliance Monitoring Programme. This includes Thematic Reviews as and when required by the business. This role consists of 2nd line monitoring, providing advice and feedback, and contributing to effective reporting and MI with a risk-based focus. It is a busy environment in a small team, with deadlines to be met for delivery.

Ad hoc tasks such as provision of advice, guidance and support to the wider business together with the preparation of relevant management information for departmental and Board reporting purposes as also part of this role.

Experience of working with databases and online systems, as well as delivering quality processes and procedures are essential and IT skills (particularly excel) will be vital as well as clear communication and feedback.

You should be a good team worker and self-motivator who remains calm under pressure. You must be interested in building and contributing to the development of a growing business. You need to showcase your ability to respond positively to feedback and to learn from mistakes.

You will act with integrity and tact, giving due consideration to the issues at hand, always acting openly and fairly providing clear support, guidance and direction as needed.

Experience preferably within a similar compliance or audit role gained in the financial services industry would be ideal.

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