Compliance Monitoring Supervisor

Recruiter
Huntswood
Location
Bristol, Avon
Salary
30000.0000
Posted
21 Jul 2017
Closes
20 Aug 2017
Contract Type
Permanent
Hours
Full Time

Our client, an established and highly reputable financial services organisation require a Compliance Monitoring Supervisor to ensure the company operate within regulatory rules and guidelines.

Your key duties would be to:

  • Conduct formal thematic or risk based reviews as outlined within the Compliance Plan and to create testing for that review
  • Undertake appropriate tests to provide assurance or to identify areas of improvement
  • Monitoring of Service Level Agreements
  • Additional monitoring such as:

- reviewing corrective action

- monitor implementation of action

- quality & consistency control of error recording

  • Sampling of regulated activities and the controls around them
  • Conduct Interviews with all levels of staff
  • Present findings of reviews to senior management
  • Support the monitoring manager in the production of monthly management information
  • Assist the Monitoring manager in the timely delivery of the Annual monitoring plan.

Required experience and knowledge:

  • Good working knowledge of relevant FCA, JFSC, HMRC, HMT, FOS, TPR, CIOS, TPA, JMLSG, ICO, ASA rules & guidance
  • Interview skills at all levels and the ability to probe for information
  • Current knowledge of pensions
  • Previous Review monitoring experience within an FCA Regulated firm
  • Good working knowledge of MS Power Point and Excel

If you are interested in this Compliance Monitoring Supervisor position and have the relevant skills and experience then please apply now.