Compliance Monitoring and Testing Officer

5 days ago

Horsham, West Sussex, United Kingdom Schroders Recruitment Full time
Compliance 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) operations.

The ideal candidate will have experience within a Compliance Monitoring or Audit role, including knowledge of Compliance monitoring tools and techniques, as well as interviewing skills. A good understanding of retail investment and pension products, particularly SIPPs, is essential. Expertise in Pension regulation is required, and knowledge of ISA legislation would be an advantage.

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, particularly in relation to Pension/SIPP regulations, and stay up-to-date with regulatory changes that may 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. Ensure completeness of evidence gathered and record-keeping associated with testing, on which findings and conclusions are clearly based.
  6. Generate regular MI reports and summaries of reviews/findings for senior management analysis.
  7. Assist other Operations Compliance team members, covering in times of need, as required and directed by the Compliance Manager.
  8. Undertake other wider work, including ad-hoc projects, as required and directed by the Compliance Manager.
Requirements
  1. Experience within Compliance Monitoring or Audit, including knowledge of Compliance monitoring tools and techniques, and interviewing skills.
  2. Good knowledge of retail investment and personal pension products, particularly SIPPs.
  3. Excellent knowledge of relevant FCA rules and their interpretation/application, including a good level of expertise in 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.
Desirable Qualifications
  1. 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.
  3. Able to take a pragmatic view and enable the business to succeed compliantly.

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