Compliance Monitoring Supervisor
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.