Financial Services business operating within the mortgages and savings space are looking to hire an experienced Compliance Monitoring professional to provide compliance oversight focusing on third party firms operating within the group.
The role holder will also be involved in wider activities across the Governance function to include the production of Compliance reporting, the development of Compliance and Conduct related management information (MI), the Compliance Risk Assessment process and the development of the Annual Compliance Assurance Plan.
• Support the Compliance Governance Manager in the on-going development and maintenance of the Compliance Third Party Oversight Framework.
• Deliver the requirements of the Compliance Third Party Oversight Framework.
• Attendance at regular oversight and governance meetings held with the third party, and provide pro-active and positive compliance guidance, support and challenge.
• Organise and deliver on-site compliance assurance reviews to test for key compliance and conduct risks, and agree actions to close the risks identified, and produce reports for a number for formal governance meetings regarding the results.
• Support the Compliance Governance Manager in the production of the monthly, quarterly and annual Compliance team reporting.
• Develop an understanding of the roles and activities of the wider Governance team to the level required to cover, input and ideas for the team.
• Establish strong mutually beneficial relationships with the Compliance team and key stakeholders across the business.
• Ensure that you fully understand and comply with the organisation’s Risk Management Policies as they relate to your area of responsibility and demonstrate in your day to day work that you put customers at the heart of everything you do.
• Previous experience of 2nd line Compliance Assurance / Monitoring Reviews ideally gained within the Financial Services sector.
• Excellent knowledge of FCA regulation / FCA Handbooks
• Experience of third party governance / assurance desirable
• Excellent skills in respect of key stakeholder management are essential