The Compliance Monitoring Officer is primarily responsible for carrying out reviews and assessments of allocated controlled activity across the Group. The key purpose of this role is to test the extent to which business is and remains demonstrably compliant with the legal, regulatory and industry requirement.
Key responsibilities will be as follows, but not limited to:
· Delivering high quality reviews and assessments.
· Assess the performance (of sales agents or other individuals or processes) against a set of and framework.
· Provide coherent feedback to stakeholders including individual sales agents
· Providing feedback and support to the TLM to ensure maintenance of standards and facilitate continuous improvement
· Execute monitoring rhythms in accordance with the Group’s monitoring and assurance plans and to provide assurance that systems and controls, are fit for purpose and operating effectively
· Ensuring monitoring rhythms are met on time and to a high standard.
· Flagging early indicators or patterns in errors or omissions to the TLM
Skills and experience:
· Excellent interpersonal and communication skills
· Technical compliance experience is desirable, but more important is a demonstrable commitment to customer centricity
· Experience of a fast-paced, rapid change environment, with the ability to gain new skills rapidly
· Excellent attention to detail with the ability to identify errors quickly
· Clear and concise feedback style
· A real team player who takes pride in developing excellent working relationships with colleagues and external contacts
· Passionate about getting it ‘Right First Time’
· Always striving towards customer satisfaction
· A hardworking, robust individual with the ability to communicate well
· Proven planning, time management and organisational skills.
· Demonstrate ability to work well with computer systems, including the standard suite of MS software; Word, Excel, Outlook, Powerpoint etc.