Compliance Monitoring Officer

4 days ago

Horsham, West Sussex, United Kingdom Schroders Full time

Our Operations Compliance Team is seeking an experienced Compliance Monitoring Officer to undertake regular monitoring of our systems/controls and provide assurance, advice, and regulatory guidance to the business. The ideal candidate will have experience within a Compliance Monitoring or Audit role, including knowledge of Compliance monitoring tools and techniques, interviewing skills, and a good understanding of retail investment and pension products. The role will involve overseeing the operational activities of Bright Square Pensions Limited and Fusion Wealth Limited, providing relevant regulatory guidance, and being aware of regulatory changes that could impact the business. The Compliance Monitoring Officer will work alongside the Compliance Manager in the development and tracking of the Compliance Monitoring Plan, develop Terms of Reference/Scope documents for reviews assigned, and ensure completeness of evidence gathered and record keeping associated from testing. The role requires excellent knowledge of relevant FCA rules and their interpretation/application, including a good level of expertise within Pension regulation. The ideal candidate will also have strong interpersonal and communication skills, with the ability to build rapport and forge strong working relationships with key business stakeholders. We offer a dynamic and inclusive work environment, with opportunities for professional growth and development. If you are a motivated and detail-oriented individual with a passion for regulatory compliance, we encourage you to apply for this exciting opportunity.

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