You will help deliver the compliance monitoring plan, to an agreed timetable. From time-to-time, you may be called upon to support the Compliance team on other activities.
Key responsibilities include:
- Undertaken business intelligence to scope out / prepare compliance monitoring terms of reference and set up a plan for delivery of agreed monitoring reviews.
- Conduct regular monitoring reviews and thematic monitoring reviews; undertaking the fieldwork, recording evidence and reaching conclusions on the effectiveness of controls.
- To draft, deliver and agree monitoring reports with key business stakeholders.
- To on agreed management actions to closure.
- Produce a monitoring report; draft report findings / conclusions and agree management actions with the key business stakeholders.
- Track (record, monitor and report) management actions to satisfactory conclusion.
- Promote a strong compliant culture within the business.
The Person:
- At least 3 year’s compliance monitoring experience.
- Experience within financial services