Compliance and Monitoring Officer

4 weeks ago

Stirling, Stirling, United Kingdom ENGINEERINGUK Full time
Compliance Monitoring Role

We are seeking a highly skilled Compliance Monitoring professional to join our team at ENGINEERINGUK. As an international savings and investments business, we offer a range of financial products and services through Asset Management, Life and Wealth.

Key Responsibilities
  1. Deliver high-quality Compliance monitoring activities across the M&G business, including regular testing, thematic, and desk-based sample reviews to ensure compliance with regulation and legislation.
  2. Lead and assist reviews as required by the Compliance Monitoring Manager, consulting with Compliance Advisory teams and Risk teams to ensure effective planning and targeting.
  3. Complete review planning, considering regulatory requirements, breaches, complaints, Operational Risk MI, and KPI information.
  4. Undertake testing, recording monitoring testing, findings, and agreed actions using the compliance monitoring workflow tool.
  5. Ensure issues are addressed with recommended mitigating actions tracked through to completion.
  6. Draft and issue formal reports to the business.
Management Information & Data Analytics
  1. Contribute to compliance monitoring risk assessments.
  2. Collate relevant data and MI on emerging business and regulatory risks for incorporation into Compliance advice and oversight.
Engagement
  1. Understand business priorities and expectations.
Key Knowledge and Skills
  1. Strong planning and organizing skills, reflecting a proactive approach.
  2. Business intelligence and analytics skills.
Industry Knowledge
  1. Awareness of the wider business, economic, regulatory, and market environment.
  2. Knowledge of the global financial services sector.
  3. Understanding of Compliance Monitoring within a global asset management business.
  4. Experience in contributing to risk-based Compliance monitoring plans.
Regulatory Knowledge
  1. Good understanding of regulatory frameworks applicable to asset management.

We value diversity and inclusion at ENGINEERINGUK, and we are committed to creating an exceptional place to work for exceptional talent. If you are passionate about Compliance Monitoring and have the skills and experience we are looking for, please apply.

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