In line with the Compliance Operating Model provide Oversight of the Appointed Representatives (AR’s) to establish whether they meet company standards.
The role will involve:
• Provide oversight of AR’s in line with the Compliance Operating Model to establish whether they are complying with company policy and Standards
• Undertake risk based monitoring of Regulated activity within the company and Associated entities
• Ensure Regulatory objectives are being met and good customer outcomes provided
• Provide feedback and reporting on adherence to Policy and Regulatory Standards to Oversight and Insight Management
• Conduct monitoring activity assessing 1LOD management controls and oversight
• Analyse intelligence output, identifying and executing relevant intervention activity
• Identify any areas of operational risk or compliance failures within the business and work with Management to rectify the issues
• Responsible for ensuring that where issues are identified appropriate mitigating actions are recommended to the business and tracked through to completion
• Conduct all aspects of thematic and risk based reviews, planning, field work, reporting and overseeing remedial activity
• Provide timely reporting to Oversight and Insight Management on the findings of Monitoring activity
• Maintain accurate and timely reporting a record keeping
• Supporting the wider Oversight and Insight team with projects and initiatives
Key Requirements:
• Understanding of the application of risk based monitoring
• Ideally hold the Level 4 Diploma or working towards