Compliance Monitoring Officer
1 week 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.
The ideal candidate will have a good understanding of retail investment and pension products, including SIPPs, and experience within a Compliance Monitoring or Audit role. You will be required to work alongside the Compliance Manager in the development and tracking of the Compliance Monitoring Plan.
Key Responsibilities:
- Undertake regulatory monitoring, focusing primarily 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.
- Develop Terms of Reference/Scope documents for reviews assigned, undertaking fact finding to identify key risks and controls for inclusion.
- Deliver regular, timely, relevant, and concise written reports summarising the findings, including recommendations for addressing any weaknesses identified.
Requirements:
- 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 a good level of expertise within Pension regulation.
- Strong interpersonal and communication skills, with the ability to build rapport and forge strong working relationships with key business stakeholders.
About Us
Schroders is a leading global asset management company, providing investment solutions to individuals, institutions, and intermediaries. We are committed to providing excellent client outcomes and service, and we believe that diversity of thought facilitated by an inclusive culture will allow us to make better decisions and achieve our purpose.
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Compliance Monitoring Officer
1 month 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)...
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Compliance Monitoring Officer
1 month 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)...
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