Senior Compliance Monitoring Officer

1 month ago

Bristol, Bristol, United Kingdom Sanderson Full time
{"title": "Senior Compliance Monitoring Officer", "description": "About the Role

We are seeking a highly skilled Senior Compliance Monitoring Officer to join our Compliance and Governance function. As a key member of our team, you will be responsible for leading reviews on our compliance with regulatory requirements, including Conduct Risk, and achieving TCF compliant customer outcomes.

Key Responsibilities
  • Perform peer reviews on Compliance Monitoring Reviews conducted by colleagues and provide constructive feedback prior to submission to QA Manager
  • Deputising for the Compliance Monitoring Manager at client meetings as required.
  • Establish and continuously develop formal/informal communication networks and effective working relationships with key internal and external stakeholders
  • Contribute positive ideas and experience to enhance the Compliance Monitoring methodology and professional working practices
  • Act as an effective ambassador for the function, promoting a positive image of Compliance within Diligenta and with clients
  • Track and report progress on remedial actions
Requirements
  • Have a good understanding of the regulated environment, including awareness of FCA (particularly Conduct Risk and TCF), DPA and AML requirements and other regulations relating to UK life and pensions business (e.g., HMRC and tpr)
  • Understand business and how to develop a deep understanding of its needs, stakeholders and processes to ensure robust compliance.
  • Can demonstrate strong influence skills and communication to develop connections across business units.
  • Demonstrate examples of developing solutions and then implementing and monitoring them.
About Us

Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as 'home' by existing employees, we drive a culture that is founded on positive change and development.

", "lang_code": "en"}

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