Compliance Monitoring Supervisor

Bristol, Avon
21 Jul 2017
20 Aug 2017
Contract Type
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.