Compliance Monitoring Specialist

4 weeks ago


Horsham, West Sussex, United Kingdom LHH Recruitment Solutions Full time
Compliance Monitoring Role

LHH 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, 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 summarising 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.

This is an excellent opportunity to contribute to the success of a dynamic and reputable company in the Pensions industry.



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