A leading pensions services provider are seeking a Compliance Monitoring Officer to join their team in London. This will report into the Head of Compliance and MLRO.
The Compliance Monitoring Officer will be responsible for planning and conducting Compliance Monitoring reviews and policy testing in accordance with the Compliance Monitoring Plan to provide assurance over key control effectiveness, Conduct Risk awareness, and adherence to company policies, procedures, and relevant FCA regulations.
In addition to this, you will be producing accurate and timely reports in respect of Compliance assurance activity and ensure business knowledge, processes and controls are accurately and proportionately assessed against regulatory and internal compliance standards.
It is essential that you have previous experience in financial services within a Compliance or Risk position.
In addition to this, you must have working knowledge of FCA Regulations, in particular SYSC, COLL, FUND, and Compliance Monitoring experience.