Compliance Monitoring and Testing Specialist

1 month ago

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

About 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 Responsibilities:

  1. Undertake regulatory monitoring, focusing on FCA and Pension regulations, internal standards, and measurement of fair outcomes for customers.
  2. Provide relevant regulatory guidance and be aware of regulatory changes that could impact the business.
  3. Work with the Compliance Manager to develop and track the Compliance Monitoring Plan.
  4. Develop Terms of Reference/Scope documents for reviews, undertaking fact-finding to identify key risks and controls.
  5. Deliver regular, timely, and concise written reports summarizing findings, including recommendations for addressing weaknesses.
  6. Provide verbal feedback to operational areas, including senior management, on review findings.
  7. Ensure completeness of evidence gathered and record keeping associated with testing.
  8. Track and report on the progress of remedial actions and 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 skills and knowledge required to do the job are being maintained and enhanced.
  11. Assist other Operations Compliance team members and cover in time of need, 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 and personal pension products, including SIPPs.
  3. Excellent knowledge of relevant FCA rules and their interpretation/application, including Pension regulation.
  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.

What We Offer:

As a Compliance Monitoring and Testing Officer at ENGINEERINGUK, you will have the opportunity to work in a dynamic and challenging environment, contributing to the success of our Operations Compliance Team. If you are a motivated and experienced professional looking for a new challenge, we encourage you to apply for this exciting opportunity.

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