Compliance and Monitoring Officer

16 hours ago


Stirling, Stirling, United Kingdom ENGINEERINGUK Full time
Job Title: Compliance and Monitoring Officer

We are seeking a highly skilled Compliance and Monitoring Officer to join our team at ENGINEERINGUK. 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:
  1. Deliver high-quality Compliance monitoring activities across the business, including regular testing, thematic reviews, and desk-based sample reviews.
  2. Lead and assist reviews as required, working closely with the Compliance Monitoring Manager and other stakeholders.
  3. Consult with Compliance Advisory teams and Risk teams to ensure that review planning is effective and targeted.
  4. Complete review planning, taking into account regulatory requirements, breaches, complaints, Operational Risk MI, and KPI information.
  5. Undertake testing, recording monitoring testing, findings, and agreed actions using the compliance monitoring workflow tool.
  6. Ensure that issues identified are addressed through appropriate mitigating actions, tracked through to completion.
  7. Draft and issue formal reports to the business.
Management Information & Data Analytics:
  1. Provide input to compliance monitoring risk assessments.
  2. Collate relevant data and MI on emerging business and regulatory risks for incorporation into Compliance advice and oversight.
Engagement:
  1. Develop an awareness and understanding of business priorities and expectations.
Key Knowledge and Skills:
  1. Excellent planning and organizing skills, reflecting a proactive approach.
  2. Strong business intelligence and analytics skills.
Industry Knowledge:
  1. Awareness and understanding of the wider business, economic, regulatory, and market environment.
  2. Knowledge of the global financial services sector.
  3. Understanding of Compliance Monitoring within a global asset management business.
  4. Experience of contributing to the delivery of risk-based Compliance monitoring plans.
Regulatory Knowledge:
  1. Good understanding of regulatory frameworks applicable to asset management in the UK and internationally.

We value diversity and inclusion at ENGINEERINGUK and are committed to creating an exceptional place to work for exceptional talent. We welcome applications from individuals who share our values and are passionate about delivering high-quality Compliance monitoring activities.



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