Compliance Monitoring Specialist

4 weeks ago

Reading, Reading, United Kingdom Wipro Full time

Compliance Monitoring Specialist

Location: Reading & Bath

Introduction:

Servaada, a Wipro company is looking for a Compliance Monitoring Specialist with previous experience in a regulatory environment, ideally from wealth/asset management or retail financial advice background. The role holder will be key in delivering both departmental and individual targets within appointed timescales and to the highest standards. Application of technical knowledge to the department's operation and innovative, solution-based thinking will be a key aspect of the role.

This role will be required to work hybrid; 2-3 days a week – 1 or 2 days from Reading and 1 day from Bath.

About Servaada, a Wipro company:

Servaada is a separate legal entity, authorised by the FCA and has been set up by Wipro to provide regulated outsourcing services within the Financial Services industry.

Our client is a financial technology investment service company where Servaada will be providing business and technology process outsourcing services and providing end to end front and back-office operations support.

Your Benefits:

As a Compliance Monitoring Specialist, you will receive a competitive salary, a generous benefits package and training & development in areas to help you improve.

Responsibilities:

  • Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner
  • Work proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose viable solutions to the risks and weaknesses identified, working to mitigate risk
  • With the support of the Head of Compliance Monitoring, agree action plans with the business as a result of monitoring work and; follow up with the business to ensure identified risks are adequately mitigated and closed in line with agreed action plans and for evidencing and recording rationale for closure. Highlight any delivery concerns
  • Provide input into the annual Compliance Risk Assessment Process to inform the annual Compliance Monitoring Programme and actively keep compliance risks under review
  • Make or assist with the delivery of relevant reporting and MI to inform Management of the compliance risks and their status. This includes supporting the Head of Compliance with information for reports to Servaada's Risk and Compliance Committee, the Board and its clients as required
  • Monitor regulatory developments and maintain an up-to-date knowledge of current issues and future trends and their likely impact on the company's risk profile and activities
  • Work with the Compliance Team in the establishment of adequate in-house controls and compliance procedures and contribute to compliance processes by identifying areas for improved adherence to regulatory requirements
  • Ensure departmental logs and the Compliance Monitoring Programme are maintained and up to date and that they are appropriately risk rated in line with the process
  • Work independently while establishing solid relationships with the business
  • Champion a positive and effective compliance culture within Servaada and Wipro, helping the business to manage compliance risks effectively within their respective areas of responsibility
  • Maintain an independent mind-set taking an impartial and objective view of internal practices, whilst maintaining good relationships that permit constructive and valued challenge
  • The area of work involves a high degree of accuracy, integrity and independence as well as the ability to work well within a small team environment. We take pride in our customer centric culture of good order, and you will share our core values

Essential Skills:

  • Previous experience in compliance monitoring, ideally in an asset/wealth management firm or a retail financial advice firm
  • Good working knowledge of FCA rules
  • Some experience of suitability of advice and/or CASS would be beneficial
  • The ability to understand and communicate technical information in a way that is easy for others to understand is essential, as is the ability to interpret FCA regulations and other such communications

Desirable Skills:

  • Degree education or equivalent or higher
  • CISI IAQ / IOC, Investment Compliance Diploma or other compliance qualification from the International Compliance Association (ICA) would be beneficial
  • Proactive self-starter who is not afraid of taking responsibility and who is able to work both independently and in close collaboration with others
  • Build rapport and strong relationships quickly and be able to maintain and build on those relationships over time, becoming a trusted partner to the business

Join our team as a Compliance Monitoring Specialist and make a meaningful impact in the lives of our clients and beneficiaries. If you have a passion for financial crime, a thorough understanding of investment services, and a desire to assist customers in their financial journey, we welcome you to apply and be part of our dedicated team.

Equal Opportunities:

Servaada is an advocate for positive change and conscious inclusion. As a global employer, we strive to create a diverse Wipro family by remaining committed to the development of our culture, diversity, equality, and inclusion in the workplace. All applicants welcome.

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