As an experienced Monitoring Compliance Officer, you will be a part of one of the leading financial services Operations Monitoring team, in their modern and picturesque offices in Horsham.
Having a pensions background and ideally experienced in SIPP, you will undertake regular monitoring of the firm’s systems/controls and provide assurance, advice, and guidance to the business with your constructive thinking and ways of improving services.
You will have fantastic benefits in addition to an on-site gym and cafeteria, such as-
- A competitive salary of up to £40k.
- Hybrid working flexibility, 2 days in the office and you are welcome to increase the number of days.
- 35.5 hours working week.
- Non-contributory pension of 8%.
- Life assurance x4 basic salary, x2 in case of critical illness.
- Free gym membership.
- Restaurant onsite.
- Private medical cover (optional).
- 25 days holiday plus 8 bank holidays with an option to buy an additional 10 days.
To be successful in this role, you will need-
- Good knowledge of retail investment and personal pension products. (SIPP is highly desirable).
- Previous experience within Compliance Monitoring.
- Strong interpersonal and communication skills, with the ability to build rapport and forge strong working relationships with key business stakeholders.
- CISI IOC level 3 qualified (or equivalent) or close to completion (Advantageous).
- Inquisitive and analytical mind.
- An understanding of Investment Platform Industry (Advantageous).
Your responsibilities include but are not limited to-
- Undertaking regulatory monitoring, focusing primarily on FCA and ISA regulations.
- Working alongside the Compliance Manager in the development and tracking of the Compliance Monitoring Plan.
- Developing Terms of Reference/Scope documents for reviews assigned, undertaking fact-finding to identify key risks and controls for inclusion.
- Delivering regular, timely, relevant, and concise written reports summarising the findings, including recommendations for addressing any weaknesses identified.
- Providing verbal feedback when required to operational areas, including to senior management, in respect of review findings.
- Ensuring completeness of evidence gathered and record keeping associated from testing, on which findings and conclusions are clearly based.
- Tracking and reporting 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.
- Assist other Operations Compliance team members; cover in time of need, as required and as directed by the Compliance Manager.
At Insure Recruitment, we work with clients who are dedicated to building a diverse, inclusive, and authentic workplace. So, if you’re excited about this role but your previous experience doesn’t align perfectly with every qualification or criteria in the above description, we encourage you to apply anyway.
You may be exactly what we’re looking for in this or other roles. Please apply by submitting your most up-to-date CV. If your application is successful, we will be in touch within 2 working days of receiving your job application to discuss the opportunity in more detail.