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Compliance and Monitoring Officer

2 months ago

Cirencester, Gloucestershire, United Kingdom St. James's Place Full time
About the Role

We are seeking a highly skilled Compliance and Monitoring Officer to join our team at St. James's Place. As a key member of our Compliance function, you will play a critical role in ensuring that our business operates in accordance with regulatory requirements and industry standards.

Key Responsibilities
  • Support the Head of Compliance Monitoring in developing a Compliance Monitoring Plan, outlining a risk-based approach to monitoring activities.
  • Deliver and support all aspects of the Compliance Monitoring Plan, ensuring timely and high-quality results.
  • Monitor, review, and follow up on the implementation of compliance recommendations agreed with management.
  • Assist Compliance staff with project work, staff training, procedural, and administrative tasks as necessary.
  • Prepare content for periodic Compliance reports to Senior Management.
Requirements
  • Some experience of first or second-line compliance activity, preferably in a wealth management/FS environment.
  • Increasing regulatory knowledge, particularly PRIN, SYSC, and COBS.
  • General and specific product knowledge, including pensions, investments, mortgages, and protection.
  • Understanding of the St. James's Place Group structure and how Compliance Monitoring fits within it.
  • Ability to analyze and communicate regulatory requirements with first-line management.
What We Offer
  • Private Medical paid for by Company.
  • Meaningful protection benefits with real value, such as 10X life cover, PHI, and critical illness.
  • Non-Contributory Pension – 10% (increasing with length of service up to 15%) with further pension matching.
  • Parental leave – 6 months full pay.
  • 28 days holiday entitlement plus bank holidays (based on full-time equivalent) with the option to buy up to an additional 5 days holiday.
  • Flexible Working.

We value diversity and inclusion and are committed to creating a workplace that is welcoming and inclusive for all employees. We believe that a diverse and inclusive workplace is essential for driving innovation, creativity, and success.