Job Reference: BBBH3355_1585143730
Insure Recruitment Ltd
Financial Service Compliance Monitoring Officer – Horsham – up to £40,000
This is a great opportunity to join an award-winning Financial Services Companies compliance team to assist them in embedding a positive compliance culture across the Group and its subsidiary Networks.
Undertake regulatory monitoring, focusing primarily on FCA regulations, internal standards, and measurement of fair outcomes for customers.
Work alongside the Compliance Manager in the development and tracking of the Compliance Monitoring Plan.
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.
Provide verbal feedback when required to operational areas, including to senior management, in respect of review findings.
Ensure completeness of evidence gathered and record keeping associated from testing, on which findings and conclusions are clearly based.
Track and report on the progress of remedial actions and where appropriate, guide management in implementing necessary improvements.
Generate regular MI reports and summaries of reviews/findings for senior management analysis.
Act as the “Lead Monitoring Officer”, managing reviews and coordinating the activities of other Compliance team members in relation to that work.
Maintain up to date CPD records demonstrating that skills and knowledge required to do the job are being maintained and enhanced.
Assist Compliance team members and to cover in time of need, as required and directed by Compliance Manager.
Undertake any other wider work including (but not limited to) ad-hoc projects, as required and directed by the Compliance Manager.
The successful candidate will be/have:
Experience within Compliance Monitoring or Audit including knowledge of Compliance monitoring tools and techniques, including interviewing skills.
Good knowledge of retail investments, savings and pensions.
Excellent knowledge of relevant FCA rules and their interpretation/application.
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.
The desire to maintain competency in line with legislation and technical changes within the industry.
Desirable Skills/Experience − An understanding of the Platform or Investment Industry and the regulations that impact upon it would be a clear advantage. − CISI IOC level 3 qualified (or equivalent) or close to completion.
Office hours are 9am to 5:30pm
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