Compliance Monitoring and Testing Officer

2 months 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. 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 (SIPP) operations.

Key responsibilities will include:

  1. Undertaking regulatory monitoring, focusing on FCA and Pension regulations, internal standards, and measurement of fair outcomes for our customers.
  2. Providing relevant regulatory guidance, particularly in relation to Pension/SIPP regulations, and staying up-to-date with regulatory changes that may impact the business.
  3. Working with the Compliance Manager to develop and track the Compliance Monitoring Plan.
  4. Developing Terms of Reference/Scope documents for reviews, undertaking fact-finding to identify key risks and controls for inclusion.
  5. Ensuring completeness of evidence gathered and record-keeping associated with testing, on which findings and conclusions are clearly based.
  6. Generating regular Management Information (MI) reports and summaries of reviews/findings for senior management analysis.
  7. Assisting other Operations Compliance team members, covering in times of need, as required and as directed by the Compliance Manager.
  8. Undertaking other wider work, including ad-hoc projects, as required and as directed by the Compliance Manager.

Requirements:

  1. Experience within Compliance Monitoring or Audit, including knowledge of Compliance monitoring tools and techniques, including 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 within Pension regulation (relevant to SIPPs).
  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. Competency with Microsoft Office programs.

Desirable qualifications and experience include:

  1. An 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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