Current jobs related to Compliance Monitoring Officer - Horsham, West Sussex - Schroders

  • Compliance Monitoring Officer

    3 weeks ago

    Horsham, West Sussex, United Kingdom Schroders Full time

    Our Operations Compliance Team is seeking an experienced Compliance Monitoring Officer to undertake regular monitoring of our systems/controls and provide assurance, advice, and regulatory guidance to the business. The ideal candidate will have experience within a Compliance Monitoring or Audit role, including knowledge of Compliance monitoring tools and...

  • Compliance Monitor

    2 weeks ago

    Horsham, West Sussex, United Kingdom Schroders Full time

    Compliance Monitoring Officer Job DescriptionJob Summary: We are seeking an experienced Compliance Monitoring Officer to join our Operations Compliance Team. The successful candidate will undertake regular monitoring of the firm's systems/controls and provide assurance, advice, and regulatory guidance to the business.Main Responsibilities:Undertake...

  • Compliance Monitoring Officer

    2 weeks ago

    Horsham, West Sussex, United Kingdom Schroders Full time

    About 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.The ideal candidate will have experience within Compliance...

  • Compliance Monitoring Officer

    3 weeks ago

    Horsham, West Sussex, United Kingdom Schroders Full time

    About 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.The ideal candidate will have a good understanding of retail...

  • Compliance Monitoring Specialist

    2 months ago

    Horsham, West Sussex, United Kingdom LHH Recruitment Solutions Full time

    Compliance 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. **Responsibilities** * Undertake regulatory...

  • Compliance Monitoring Specialist

    2 months ago

    Horsham, West Sussex, United Kingdom LHH Recruitment Solutions Full time

    Compliance 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. **Responsibilities** * Undertake regulatory...

  • Compliance Monitoring and Testing Specialist

    1 month ago

    Horsham, West Sussex, United Kingdom ENGINEERINGUK Full time

    Compliance Monitoring and Testing OfficerAbout the Role:We are seeking an experienced Compliance Monitoring and Testing 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...

  • Aircraft Compliance Officer

    4 weeks ago

    Horsham, West Sussex, United Kingdom Reed Full time

    Compliance SupervisorReed Financial Services is seeking a dedicated Compliance Supervisor to join its Financial Services Compliance Department at the head office in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.Key Responsibilities:Apply a risk-based and...

  • Aircraft Compliance Officer

    4 weeks ago

    Horsham, West Sussex, United Kingdom Reed Full time

    Compliance SupervisorReed Financial Services is seeking a dedicated Compliance Supervisor to join its Financial Services Compliance Department at the head office in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.Key Responsibilities:Apply a risk-based and...

  • Compliance Officer

    4 weeks ago

    Horsham, West Sussex, United Kingdom Artemis Recruitment Consultants Ltd Full time

    Artemis Recruitment Consultants Ltd is seeking a skilled Compliance Administrator to support their team based in Horsham. This hybrid working position requires a proactive and flexible approach with strong technical competence in Microsoft applications and accurate keyboard skills. The ideal candidate will provide first-class support to the Compliance...

  • Aircraft Compliance Officer

    1 month ago

    Horsham, West Sussex, United Kingdom Reed Full time

    Compliance SupervisorReed Financial Services is seeking a seasoned Compliance Supervisor to join our Financial Services Compliance Department at our head office in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.Key Responsibilities:Develop and implement a...

  • Aircraft Compliance Officer

    1 month ago

    Horsham, West Sussex, United Kingdom Reed Full time

    Compliance SupervisorReed Financial Services is seeking a seasoned Compliance Supervisor to join our Financial Services Compliance Department at our head office in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.Key Responsibilities:Develop and implement a...

  • Compliance Officer

    4 weeks ago

    Horsham, West Sussex, United Kingdom Artemis Recruitment Consultants Ltd Full time

    Compliance Administrator - HorshamArtemis Recruitment Consultants Ltd is seeking a skilled Compliance Administrator to join their team in Horsham. This role will involve providing exceptional support to the Compliance Officer and contributing to the team's success.Key Responsibilities:Deliver first-class support to the Compliance Officer, ensuring seamless...

  • Compliance Officer

    4 weeks ago

    Horsham, West Sussex, United Kingdom Artemis Recruitment Consultants Ltd Full time

    Compliance Administrator - HorshamArtemis Recruitment Consultants Ltd is seeking a skilled Compliance Administrator to join their team in Horsham. This role will involve providing exceptional support to the Compliance Officer and contributing to the team's success.Key Responsibilities:Deliver first-class support to the Compliance Officer, ensuring seamless...

  • Compliance Officer

    3 weeks ago

    Horsham, West Sussex, United Kingdom Artemis Recruitment Consultants Ltd Full time

    We are seeking a skilled Compliance Administrator to provide exceptional support to our Compliance Officer. This role will involve working in a hybrid environment and requires a proactive and flexible approach with a strong drive and determination.The ideal candidate will have business and commercial awareness, including a strong client focus, and technical...

  • Compliance Officer

    4 weeks ago

    Horsham, West Sussex, United Kingdom Artemis Recruitment Consultants Ltd Full time

    Compliance Administrator - HorshamArtemis Recruitment Consultants Ltd is seeking a skilled Compliance Administrator to support their team based in Horsham. This hybrid working position requires a proactive and flexible approach with strong business and commercial awareness.Provide exceptional support to the Compliance Officer, ensuring seamless day-to-day...

  • Compliance Officer

    4 weeks ago

    Horsham, West Sussex, United Kingdom Artemis Recruitment Consultants Ltd Full time

    Compliance Administrator - HorshamArtemis Recruitment Consultants Ltd is seeking a skilled Compliance Administrator to support their team based in Horsham. This hybrid working position requires a proactive and flexible approach with strong business and commercial awareness.Provide exceptional support to the Compliance Officer, ensuring seamless day-to-day...

  • Compliance Officer

    2 weeks ago

    Horsham, West Sussex, United Kingdom Schroders Full time

    About BenchmarkWe're a leading provider of award-winning, proprietary solutions that cover regulatory, platform, and investment services. Our solutions are designed to support advisers at every step of their journey, from starting and running a financial advice business more productively and effectively, to accelerating its growth and realising its value.Our...

  • Compliance Officer Professional

    7 days ago

    Horsham, West Sussex, United Kingdom Artemis Recruitment Consultants Ltd Full time

    Compliance Administrator RoleArtemis Recruitment Consultants Ltd is looking for a skilled Compliance Administrator to support their team based in Horsham. This will be a hybrid working position.Provide high-quality support to the Compliance Officer, ensuring compliance with regulatory requirements.Display a proactive and flexible approach with drive and...

  • Compliance Officer

    4 weeks ago

    Horsham, West Sussex, United Kingdom ENGINEERINGUK Full time

    Job Title: Regulatory Compliance ConsultantJoin our team at Benchmark Capital Group as a Regulatory Compliance Consultant and play a crucial role in ensuring the company's compliance with regulatory requirements.About the Role:We are seeking a highly skilled and experienced Regulatory Compliance Consultant to join our team. As a Regulatory Compliance...

Compliance Monitoring Officer

2 months 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. 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, particularly in Pension/SIPP-related areas, and stay up-to-date with regulatory changes.
  • Work with the Compliance Manager to develop and track the Compliance Monitoring Plan.
  • Develop Terms of Reference/Scope documents for reviews, identifying key risks and controls.
  • Deliver regular, timely, and concise reports summarizing findings and recommendations.
  • Provide verbal feedback to operational areas and senior management on review findings.
  • Ensure completeness of evidence gathered and record keeping.
  • Track and report on remedial actions and guide management in implementing improvements.
  • Generate regular MI reports and summaries for senior management analysis.
  • Maintain up-to-date CPD records and assist other Operations Compliance team members as needed.
Requirements
  • Experience in Compliance Monitoring or Audit, including knowledge of Compliance monitoring tools and techniques.
  • Good knowledge of retail investment and personal pension products, particularly 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 with key stakeholders.
  • Effective planning and analytical skills, with competence in Microsoft Office programs.
About Us

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