Compliance Monitoring and Testing Specialist

2 weeks ago

Horsham, West Sussex, United Kingdom ENGINEERINGUK Full time
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 stay up-to-date with regulatory changes that 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, identifying key risks and controls.
  5. Deliver regular, timely, and concise reports summarizing findings and recommendations.
  6. Provide verbal feedback to operational areas and senior management on review findings.
  7. Ensure completeness of evidence gathered and record keeping.
  8. Track and report on remedial actions and guide management in implementing improvements.
  9. Generate regular MI reports and summaries for senior management analysis.
  10. Maintain up-to-date CPD records demonstrating skills and knowledge maintenance.
  11. Assist other Operations Compliance team members and cover in times of need.

Requirements:

  1. Experience in Compliance Monitoring or Audit, including knowledge of Compliance monitoring tools and techniques.
  2. Good knowledge of retail investment and personal pension products, particularly 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 with business stakeholders.
  5. Effective planning and analytical skills.
  6. Competent with Microsoft Office programs.
  7. Desire to maintain competency in line with legislation and technical changes.

Desirable Qualifications:

  1. Understanding of the Investment Platform and Pension industry.
  2. CISI IOC level 3 qualified or close to completion.

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