Compliance Monitoring Specialist
3 weeks ago
LHH Recruitment Solutions is seeking a talented Compliance Monitoring professional to join their team. As a key member of the organization, 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 remain up-to-date with regulatory changes.
- Work alongside 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, relevant, 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.
- Assist other members of the Operations Compliance team, providing cover in times of need, as directed by the Compliance Manager.
- 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.
LHH Recruitment Solutions is an employment consultancy that believes in talent, not labels. We run inclusive recruitment processes to support candidates of all abilities and encourage applicants of all backgrounds and perspectives to apply. We are committed to building an inclusive, supportive environment to enable candidates to explore the next steps in their careers.
-
Compliance Monitoring Specialist
4 weeks ago
Horsham, West Sussex, United Kingdom LHH Recruitment Solutions Full timeCompliance 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. **Responsibilities** * Undertake regulatory...
-
Compliance Monitoring Specialist
1 month ago
Horsham, West Sussex, United Kingdom LHH Recruitment Solutions Full timeCompliance 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. **Responsibilities** * Undertake regulatory...
-
Compliance Monitoring Specialist
3 weeks ago
Horsham, West Sussex, United Kingdom LHH Recruitment Solutions Full timeCompliance Monitoring RoleWe are seeking a talented Compliance Monitoring professional to join our team at LHH Recruitment Solutions. As a Compliance Monitoring professional, you will play a vital role in ensuring regulatory compliance and monitoring adherence to internal standards.Responsibilities:Undertake regulatory monitoring, focusing primarily on FCA...
-
Compliance Monitoring Specialist
3 weeks ago
Horsham, West Sussex, United Kingdom LHH Recruitment Solutions Full timeCompliance Monitoring RoleWe are seeking a talented Compliance Monitoring professional to join our team at LHH Recruitment Solutions. As a Compliance Monitoring professional, you will play a vital role in ensuring regulatory compliance and monitoring adherence to internal standards.Responsibilities:Undertake regulatory monitoring, focusing primarily on FCA...
-
Compliance Monitoring Specialist
4 weeks ago
Horsham, West Sussex, United Kingdom LHH Recruitment Solutions Full timeCompliance Monitoring RoleLHH Recruitment Solutions is seeking a talented Compliance Monitoring professional to join their team. As a key member of the organization, 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...
-
Compliance Monitoring Specialist
4 weeks ago
Horsham, West Sussex, United Kingdom LHH Recruitment Solutions Full timeCompliance Monitoring RoleLHH Recruitment Solutions is seeking a talented Compliance Monitoring professional to join their team. As a key member of the organization, 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...
-
Compliance Monitoring Specialist
4 weeks ago
Horsham, West Sussex, United Kingdom LHH Recruitment Solutions Full timeCompliance Monitoring RoleLHH Recruitment Solutions is seeking a skilled Compliance Monitoring professional to join our client's team in the Pensions industry.Key Responsibilities:Undertake regulatory monitoring, focusing on FCA and Pension regulations, internal standards, and measurement of fair outcomes for customers.Provide regulatory guidance,...
-
Compliance Monitoring Specialist
4 weeks ago
Horsham, West Sussex, United Kingdom LHH Recruitment Solutions Full timeCompliance Monitoring RoleLHH Recruitment Solutions is seeking a skilled Compliance Monitoring professional to join our client's team in the Pensions industry.Key Responsibilities:Undertake regulatory monitoring, focusing on FCA and Pension regulations, internal standards, and measurement of fair outcomes for customers.Provide regulatory guidance,...
-
Compliance Monitoring and Testing Specialist
1 month ago
Horsham, West Sussex, United Kingdom ENGINEERINGUK Full timeJob Title: Compliance Monitoring and Testing OfficerAbout the Role:We are seeking an experienced Compliance Monitoring and Testing Officer to join our Operations Compliance Team. As a key member of the team, you will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the...
-
Compliance Monitoring and Testing Specialist
1 month ago
Horsham, West Sussex, United Kingdom ENGINEERINGUK Full timeJob Title: Compliance Monitoring and Testing OfficerAbout the Role:We are seeking an experienced Compliance Monitoring and Testing Officer to join our Operations Compliance Team. As a key member of the team, you will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the...
-
Compliance Monitoring and Testing Specialist
2 weeks ago
Horsham, West Sussex, United Kingdom ENGINEERINGUK Full timeCompliance Monitoring and Testing OfficerAbout the Role:We are seeking an experienced Compliance Monitoring and Testing Officer to join our Operations Compliance Team. As a key member of the team, you will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the business.Key...
-
Compliance Monitoring and Testing Specialist
2 weeks ago
Horsham, West Sussex, United Kingdom ENGINEERINGUK Full timeCompliance Monitoring and Testing OfficerAbout the Role:We are seeking an experienced Compliance Monitoring and Testing Officer to join our Operations Compliance Team. As a key member of the team, you will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the business.Key...
-
Compliance Monitoring and Testing Specialist
4 weeks ago
Horsham, West Sussex, United Kingdom ENGINEERINGUK Full timeCompliance Monitoring and Testing OfficerAbout the Role:We are seeking an experienced Compliance Monitoring and Testing Officer to join our Operations Compliance Team. As a key member of the team, you will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the business.Key...
-
Compliance Monitoring and Testing Specialist
4 weeks ago
Horsham, West Sussex, United Kingdom ENGINEERINGUK Full timeCompliance Monitoring and Testing OfficerAbout the Role:We are seeking an experienced Compliance Monitoring and Testing Officer to join our Operations Compliance Team. As a key member of the team, you will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the business.Key...
-
Compliance Monitoring and Testing Specialist
3 weeks ago
Horsham, West Sussex, United Kingdom ENGINEERINGUK Full timeJob Title: Compliance Monitoring and Testing OfficerAbout the Role:We are seeking an experienced Compliance Monitoring and Testing Officer to join our Operations Compliance Team. As a key member of the team, you will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the...
-
Compliance Monitoring and Testing Specialist
3 weeks ago
Horsham, West Sussex, United Kingdom ENGINEERINGUK Full timeJob Title: Compliance Monitoring and Testing OfficerAbout the Role:We are seeking an experienced Compliance Monitoring and Testing Officer to join our Operations Compliance Team. As a key member of the team, you will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the...
-
Compliance Monitoring Officer
1 month ago
Horsham, West Sussex, United Kingdom Schroders Recruitment Full timeCompliance Monitoring Officer (Pensions)We are seeking an experienced Compliance Monitoring Officer to join our Operations Compliance Team. The successful candidate will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the business, with a focus on our Pension (SIPP)...
-
Compliance Monitoring Officer
1 month ago
Horsham, West Sussex, United Kingdom Schroders Recruitment Full timeCompliance Monitoring Officer (Pensions)We are seeking an experienced Compliance Monitoring Officer to join our Operations Compliance Team. The successful candidate will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the business, with a focus on our Pension (SIPP)...
-
Compliance Monitoring Officer
4 days ago
Horsham, West Sussex, United Kingdom Schroders Full timeOur Operations Compliance Team is seeking an experienced Compliance Monitoring Officer to undertake regular monitoring of our systems/controls and provide assurance, advice, and regulatory guidance to the business. The ideal candidate will have experience within a Compliance Monitoring or Audit role, including knowledge of Compliance monitoring tools and...
-
Compliance and Monitoring Officer
1 month ago
Horsham, West Sussex, United Kingdom Schroders Full timeCompliance and Monitoring OfficerAs part of our Operations Compliance Team, we are seeking an experienced Compliance Monitoring Officer to undertake regular monitoring of our systems/controls and provide assurance, advice, and regulatory guidance to the business with a focus on the activities of our Pension (SIPP) operations.Key ResponsibilitiesUndertake...
