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Compliance Monitoring Specialist
2 months ago
Compliance Monitoring Role
**About the Role**
We are seeking a talented Compliance Monitoring professional to join our client's team in the Pensions industry. As a key member of the Compliance team, you will play a vital role in ensuring regulatory compliance and monitoring adherence to internal standards.
**Key Responsibilities**
* Undertake regulatory monitoring, focusing on FCA and Pension regulations, internal standards, and measurement of fair outcomes for customers.
* Provide relevant regulatory guidance, particularly in relation to Pension/SIPP matters, and stay up-to-date with regulatory changes.
* Work with the Compliance Manager to develop and track the Compliance Monitoring Plan.
* Develop Terms of Reference/Scope documents for assigned reviews, conducting fact-finding exercises to identify key risks and controls.
* Deliver regular, timely, and concise written reports summarizing findings, including recommendations for addressing weaknesses.
* Provide verbal feedback to operational areas, including senior management, in respect of review findings.
* Ensure completeness of evidence gathered and maintain a clear record of testing, on which findings and conclusions are based.
* Track and report on the progress of remedial actions, and guide management in implementing necessary improvements when required.
* Generate regular Management Information (MI) reports and summaries of reviews/findings for senior management analysis.
* Maintain up-to-date Continuing Professional Development (CPD) records to demonstrate the enhancement and maintenance of required skills and knowledge.
**Requirements**
* Experience within Compliance Monitoring or Audit, including knowledge of monitoring tools and techniques, as well as effective interviewing skills.
* Good knowledge of retail investment and personal pension products, particularly SIPP, including GIA, ISA, and Investment Bonds.
* Excellent knowledge of relevant FCA rules, with a focus on Pension regulation (specifically relevant to SIPPs).
* Strong interpersonal and communication skills, with the ability to build rapport and forge strong working relationships with key stakeholders.
* Effective planning and analytical skills.
* Competent with Microsoft Office programmes.
* Desire to maintain competency in line with legislation and technical changes within the industry.
**Preferred Qualifications**
* An understanding of the Investment Platform and Pension industry would be a clear advantage.
* CISI IOC Level 3 qualified (or equivalent) or close to completion.
If you are a proactive and dedicated Compliance Monitoring professional, eager to contribute to the success of our client's organisation, we encourage you to apply.
