Financial Services business offering a range of products are looking to appoint a Senior Compliance Monitoring Officer. Reporting directly to the Head of Department within Group Compliance, the position will play a key second line role in delivering an effective Risk Based Compliance Monitoring Programme that fits in with the overall strategy of the business and the Risk & Compliance function.
• Responsible and accountable for the scoping and execution of assigned Compliance reviews in line with the firms Compliance Monitoring Programme, and provide assurance on regulatory risk, including Conduct Risk and Customer Outcomes.
• Delivery of well written structured reports that prescribes appropriate, relevant and pragmatic corrective action.
• Assisting the Head of Department in the development and maintenance of the Risk based Compliance Monitoring plan
• Assist in the continuing development of the Customer Outcomes and Conduct Risk Monitoring framework.
• Assist in the continuing development of Data Analytic Lead Monitoring methodologies
• Compliance monitoring experience ideally gained within general insurance.
• Experience in scoping and conducting Compliance Monitoring Reviews.
• Experience in developing Customer Outcome and Conduct Risk Monitoring Frameworks
• Demonstrable experience of working with, and challenging, senior managers
• Proven track record of annual planning and delivery of compliance monitoring
• Ability to effectively liaise, influence, communicate, and negotiate with a range of stakeholders