Compliance Monitoring Officer

3 days ago

Horsham, West Sussex, United Kingdom Schroders Full time
About the Role

We 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 Responsibilities
  • Undertake regulatory monitoring, focusing on FCA and Pension regulations, internal standards, and measurement of fair outcomes for customers.
  • Provide regulatory guidance and be aware of 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 and recommendations.
  • Provide verbal feedback to operational areas and senior management.
  • 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.
Requirements
  • Experience within Compliance Monitoring or Audit, including knowledge of Compliance monitoring tools and techniques.
  • 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.
Desirable Qualifications
  • Understanding of the Investment Platform and Pension industry.
  • CISI IOC level 3 qualified or close to completion.
About Us

Schroders is a leading global asset management company that provides excellent client outcomes and service. We value diversity of thought and inclusion, and we are an equal opportunities employer. We welcome applications from candidates with a range of backgrounds and experiences.

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