Compliance Monitoring Officer
4 weeks ago
As 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, focusing on the activities of our Pension (SIPP) operations.
Key responsibilities include:
- Undertaking regulatory monitoring, focusing primarily on FCA and Pension regulations, internal standards, and measurement of fair outcomes for our customers.
- Providing relevant regulatory guidance, particularly in relation to Pension/SIPP regulations, and staying up-to-date with regulatory changes that may impact the business.
- Working closely with the Compliance Manager to develop and track the Compliance Monitoring Plan.
- Developing Terms of Reference/Scope documents for reviews assigned, conducting fact-finding to identify key risks and controls for inclusion.
- Ensuring completeness of evidence gathered and record-keeping associated with testing, on which findings and conclusions are clearly based.
- Generating regular MI reports and summaries of reviews/findings for senior management analysis.
- Assisting other Operations Compliance team members, covering in times of need, as required and directed by the Compliance Manager.
- Undertaking other wider work, including ad-hoc projects, as required and directed by the Compliance Manager.
Requirements:
- Experience within Compliance Monitoring or Audit, including knowledge of Compliance monitoring tools and techniques, including interviewing skills.
- Good knowledge of retail investment (including but not limited to GIA, ISA, and Investment Bonds) and personal pension products (in particular SIPP).
- Excellent knowledge of relevant FCA rules and their interpretation/application, including a good level of expertise within Pension regulation (relevant to SIPPs).
- Strong interpersonal and communication skills, with the ability to build rapport and forge strong working relationships with key business stakeholders.
- Effective planning and analytical skills.
- Competent with Microsoft Office programs.
Desirable:
- An understanding of the Investment Platform and Pension industry would be a clear advantage.
- CISI IOC level 3 qualified (or equivalent) or close to completion.
- Able to take a pragmatic view and enable the business to succeed compliantly.
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