Compliance Monitoring and Testing Officer

1 day ago

Horsham, West Sussex, United Kingdom ENGINEERINGUK Full time
Job Title: Compliance Monitoring and Testing Officer

Job Summary:

We are seeking an experienced Compliance Monitoring and Testing Officer to join our Operations Compliance Team. The successful candidate will be responsible for undertaking regular monitoring of our systems/controls and providing assurance, advice, and regulatory guidance to the business with a focus on the activities of our Pension (SIPP) operations.

Key Responsibilities:

  1. Undertake regulatory monitoring, focusing primarily on FCA and Pension regulations, internal standards, and measurement of fair outcomes for the underlying customers.
  2. Provide relevant regulatory guidance (in particular Pension/SIPP related) and be aware of regulatory changes that could impact the business.
  3. Work alongside the Compliance Manager in the development and tracking of the Compliance Monitoring Plan.
  4. Develop Terms of Reference/Scope documents for reviews assigned, undertaking fact-finding to identify key risks and controls for inclusion.
  5. Deliver regular, timely, relevant, and concise written reports summarising the findings, including recommendations for addressing any weaknesses identified.
  6. Provide verbal feedback when required to operational areas, including to senior management, in respect of review findings.
  7. Ensure completeness of evidence gathered and record keeping associated from testing, on which findings and conclusions are clearly based.
  8. Track and report on the progress of remedial actions and where appropriate, guide management in implementing necessary improvements.
  9. Generate regular MI reports and summaries of reviews/findings for senior management analysis.
  10. Maintain up to date CPD records demonstrating that skills and knowledge required to do the job are being maintained and enhanced.
  11. Assist other Operations Compliance team members; cover in time of need, as required and as directed by Compliance Manager.
  12. Undertake any other wider work including (but not limited to) ad-hoc projects, as required and as directed by the Compliance Manager.

Requirements:

  1. Experience within Compliance Monitoring or Audit including knowledge of Compliance monitoring tools and techniques, including interviewing skills.
  2. Good knowledge of retail investment (including but not limited to GIA, ISA, and Investment Bonds) and personal pension products (in particular SIPP).
  3. Excellent knowledge of relevant FCA rules and their interpretation/application including a good level of expertise within Pension regulation (relevant to SIPPs).
  4. Strong interpersonal and communication skills, with the ability to build rapport and forge strong working relationships with key business stakeholders.
  5. Effective planning and analytical skills.
  6. Competent with Microsoft Office programs.
  7. The desire to maintain competency in line with legislation and technical changes within the industry.

Desirable Qualifications:

  1. An understanding of the Investment Platform and Pension industry would be a clear advantage.
  2. CISI IOC level 3 qualified (or equivalent) or close to completion.

About Us:

ENGINEERINGUK is a leading provider of engineering services, and we are committed to delivering high-quality solutions to our clients. We are seeking a talented and experienced Compliance Monitoring and Testing Officer to join our team and contribute to our success.

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