Compliance and Monitoring Officer
6 days 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 with a focus on the activities of our Pension (SIPP) operations.
Key Responsibilities- Undertake regulatory monitoring, focusing primarily on FCA and Pension regulations, internal standards, and measurement of fair outcomes for our underlying customers.
- Provide relevant regulatory guidance (in particular Pension/SIPP related) and be aware of regulatory changes that could impact the business.
- Work alongside the Compliance Manager in the development and tracking of the Compliance Monitoring Plan.
- Develop Terms of Reference/Scope documents for reviews assigned, undertaking fact-finding to identify key risks and controls for inclusion.
- Ensure completeness of evidence gathered and record keeping associated from testing, on which findings and conclusions are clearly based.
- Generate regular MI reports and summaries of reviews/findings for senior management analysis.
- Assist other Operations Compliance team members; cover in time of need, as required and as directed by Compliance Manager.
- Undertake any other wider work including (but not limited to) ad-hoc projects, as required and as directed by the Compliance Manager.
- 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.
- 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.
We are looking for a Compliance Monitoring Officer who can take a pragmatic view and enable the business to succeed compliantly.
-
Compliance Monitoring Officer
6 days ago
Horsham, West Sussex, United Kingdom Schroders Recruitment Full timeCompliance Monitoring Officer (Pensions)We are seeking an experienced Compliance Monitoring Officer to join our Operations Compliance Team. The successful candidate will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the business, with a focus on our Pension (SIPP)...
-
Compliance Monitoring Officer
6 days ago
Horsham, West Sussex, United Kingdom Schroders Recruitment Full timeCompliance Monitoring Officer (Pensions)We are seeking an experienced Compliance Monitoring Officer to join our Operations Compliance Team. The successful candidate will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the business, with a focus on our Pension (SIPP)...
-
Compliance Monitoring Officer
1 week ago
Horsham, West Sussex, United Kingdom Schroders Full timeAbout the RoleWe are seeking an experienced Compliance Monitoring 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 ResponsibilitiesUndertake regulatory monitoring,...
-
Compliance Monitoring Officer
1 week ago
Horsham, West Sussex, United Kingdom Schroders Full timeAbout the RoleWe are seeking an experienced Compliance Monitoring 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 ResponsibilitiesUndertake regulatory monitoring,...
-
Compliance and Monitoring Officer
7 days ago
Horsham, West Sussex, United Kingdom Schroders Full timeJob Title: Compliance and Monitoring OfficerAs a key member of our Operations Compliance Team, we are seeking an experienced Compliance Monitoring Officer to join our team. The successful candidate will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the business.Key...
-
Compliance and Monitoring Officer
7 days ago
Horsham, West Sussex, United Kingdom Schroders Full timeJob Title: Compliance and Monitoring OfficerAs a key member of our Operations Compliance Team, we are seeking an experienced Compliance Monitoring Officer to join our team. The successful candidate will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the business.Key...
-
Compliance Monitoring Officer
2 days ago
Horsham, West Sussex, United Kingdom Schroders Full timeAbout the RoleWe are seeking an experienced Compliance Monitoring 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 ResponsibilitiesUndertake regulatory monitoring,...
-
Compliance Monitoring Officer
2 days ago
Horsham, West Sussex, United Kingdom Schroders Full timeAbout the RoleWe are seeking an experienced Compliance Monitoring 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 ResponsibilitiesUndertake regulatory monitoring,...
-
Compliance Monitoring and Testing Officer
2 weeks ago
Horsham, West Sussex, United Kingdom Schroders Recruitment Full timeCompliance Monitoring Officer (Pensions)We are seeking an experienced Compliance Monitoring Officer to join our Operations Compliance Team. The successful candidate will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the business, with a focus on our Pension (SIPP)...
-
Compliance Monitoring and Testing Officer
2 weeks ago
Horsham, West Sussex, United Kingdom Schroders Recruitment Full timeCompliance Monitoring Officer (Pensions)We are seeking an experienced Compliance Monitoring Officer to join our Operations Compliance Team. The successful candidate will be responsible for undertaking regular monitoring of our systems and controls, providing assurance, advice, and regulatory guidance to the business, with a focus on our Pension (SIPP)...
-
Compliance Monitoring and Testing Officer
3 weeks ago
Horsham, West Sussex, United Kingdom Schroders Recruitment Full timeCompliance Monitoring Officer (Pensions)We are seeking an experienced Compliance Monitoring 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, with a focus on our Pension...
-
Compliance Monitoring and Testing Officer
3 weeks ago
Horsham, West Sussex, United Kingdom Schroders Recruitment Full timeCompliance Monitoring Officer (Pensions)We are seeking an experienced Compliance Monitoring 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, with a focus on our Pension...
-
Compliance Monitoring and Testing Officer
3 weeks ago
Horsham, West Sussex, United Kingdom Schroders Recruitment Full timeCompliance Monitoring Officer (Pensions)We are seeking an experienced Compliance Monitoring 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, with a focus on our Pension...
-
Compliance Monitoring and Testing Officer
3 weeks ago
Horsham, West Sussex, United Kingdom Schroders Recruitment Full timeCompliance Monitoring Officer (Pensions)We are seeking an experienced Compliance Monitoring 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, with a focus on our Pension...
-
Compliance Monitoring and Testing Officer
7 days ago
Horsham, West Sussex, United Kingdom ENGINEERINGUK Full timeJob Title: Compliance Monitoring and Testing OfficerJob Summary:We are seeking an experienced Compliance Monitoring and Testing Officer to join our Operations Compliance Team. The successful candidate will be responsible for undertaking regular monitoring of our systems/controls and providing assurance, advice, and regulatory guidance to the business with a...
-
Compliance Monitoring and Testing Officer
7 days ago
Horsham, West Sussex, United Kingdom ENGINEERINGUK Full timeJob Title: Compliance Monitoring and Testing OfficerJob Summary:We are seeking an experienced Compliance Monitoring and Testing Officer to join our Operations Compliance Team. The successful candidate will be responsible for undertaking regular monitoring of our systems/controls and providing assurance, advice, and regulatory guidance to the business with a...
-
Compliance Monitoring and Testing Officer
6 days ago
Horsham, West Sussex, United Kingdom ENGINEERINGUK Full timeJob Title: Compliance Monitoring and Testing OfficerAbout 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...
-
Compliance Monitoring and Testing Officer
5 days ago
Horsham, West Sussex, United Kingdom ENGINEERINGUK Full timeJob Title: Compliance Monitoring and Testing OfficerAbout 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...
-
Compliance Monitoring Officer
2 weeks ago
Horsham, West Sussex, United Kingdom Schroders Full timeAbout the RoleWe are seeking an experienced Compliance Monitoring 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 ResponsibilitiesUndertake regulatory monitoring,...
-
Compliance Monitoring Officer
2 weeks ago
Horsham, West Sussex, United Kingdom Schroders Full timeAbout the RoleWe are seeking an experienced Compliance Monitoring 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 ResponsibilitiesUndertake regulatory monitoring,...
