Compliance Monitoring Officer
5 days ago
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.
Key Responsibilities- Undertake regulatory monitoring, focusing on FCA and Pension regulations, internal standards, and measurement of fair outcomes for customers.
- Provide relevant regulatory guidance and be aware of regulatory changes that could impact the business.
- Work with the Compliance Manager to develop and track the Compliance Monitoring Plan.
- Develop Terms of Reference/Scope documents for reviews, undertaking fact-finding to identify key risks and controls.
- Deliver regular, timely, and concise written reports summarizing findings, including recommendations for addressing weaknesses.
- Provide verbal feedback to operational areas, including senior management, in respect of review findings.
- Ensure completeness of evidence gathered and record-keeping associated with testing.
- Track and report on the progress of remedial actions and guide management in implementing necessary improvements.
- Generate regular MI reports and summaries of reviews/findings for senior management analysis.
- Maintain up-to-date CPD records demonstrating skills and knowledge required to do the job are being maintained and enhanced.
- Experience within Compliance Monitoring or Audit, including knowledge of Compliance monitoring tools and techniques, including interviewing skills.
- Good knowledge of retail investment and personal pension products, including SIPPs.
- Excellent knowledge of relevant FCA rules and their interpretation/application, including Pension regulation.
- 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.
We offer a competitive salary and benefits package, as well as opportunities for professional development and growth. If you are a motivated and experienced Compliance Monitoring Officer looking for a new challenge, please apply today.
-
Compliance and Monitoring Officer
1 day 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
1 day 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 and Testing Officer
5 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 and Testing Officer
5 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 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. 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
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. 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
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. 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
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. 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
2 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...
-
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 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 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 at Schroders. As a key member of the team, you will play a crucial role in ensuring the firm's systems and controls are compliant with regulatory requirements.Key ResponsibilitiesUndertake regulatory monitoring, focusing on FCA and Pension...
-
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 at Schroders. As a key member of the team, you will play a crucial role in ensuring the firm's systems and controls are compliant with regulatory requirements.Key ResponsibilitiesUndertake regulatory monitoring, focusing on FCA and Pension...
-
Compliance Monitoring Specialist
4 days ago
Horsham, West Sussex, United Kingdom LHH Recruitment Solutions Full timeCompliance Monitoring Role **About the Role** We are seeking a talented Compliance Monitoring professional to join our client's team in the Pensions industry. As a key member of the Compliance team, you will play a vital role in ensuring regulatory compliance and monitoring adherence to internal standards. **Key Responsibilities** * Undertake regulatory...
-
Compliance Monitoring Specialist
4 days ago
Horsham, West Sussex, United Kingdom LHH Recruitment Solutions Full timeCompliance Monitoring Role **About the Role** We are seeking a talented Compliance Monitoring professional to join our client's team in the Pensions industry. As a key member of the Compliance team, you will play a vital role in ensuring regulatory compliance and monitoring adherence to internal standards. **Key Responsibilities** * Undertake regulatory...
-
Compliance Monitoring Specialist
1 day ago
Horsham, West Sussex, United Kingdom LHH Recruitment Solutions Full timeCompliance Monitoring Role **About the Role** LHH Recruitment Solutions is seeking a talented Compliance Monitoring professional to join their team. As a key member of the Operations Compliance team, you will play a vital role in ensuring regulatory compliance and monitoring adherence to internal standards. **Responsibilities:** * Undertake regulatory...
-
Compliance Monitoring Specialist
1 day ago
Horsham, West Sussex, United Kingdom LHH Recruitment Solutions Full timeCompliance Monitoring Role **About the Role** LHH Recruitment Solutions is seeking a talented Compliance Monitoring professional to join their team. As a key member of the Operations Compliance team, you will play a vital role in ensuring regulatory compliance and monitoring adherence to internal standards. **Responsibilities:** * Undertake regulatory...
-
Compliance Officer
1 day ago
Horsham, West Sussex, United Kingdom Astral Recruitment Full timeCompliance Officer RoleAstral Recruitment is seeking an experienced Compliance Officer to join a specialist financial services company based in Horsham. The successful candidate will be responsible for supporting a team of Advisers in the compliance department.Key Responsibilities:Review client files to confirm suitability and adherence to regulatory and...
-
Compliance Officer
1 day ago
Horsham, West Sussex, United Kingdom Astral Recruitment Full timeCompliance Officer RoleAstral Recruitment is seeking an experienced Compliance Officer to join a specialist financial services company based in Horsham. The successful candidate will be responsible for supporting a team of Advisers in the compliance department.Key Responsibilities:Review client files to confirm suitability and adherence to regulatory and...
