Purpose
This role sits within our Compliance function and will open the ability to progress within that career path. We have a Compliance Monitoring team which operates similar to internal audit, but focuses on alignment to regulatory needs. You will review how the business carries out key control processes, and understand how the business adheres to them and provide a problem solving on how we can get better.
If you are capable of understanding processes, able to engage with stakeholders, unphased by data, and know how to focus on what matter, this might be the role for you. Compliance is a high profile part of any Financial Services firm, we can teach you the FCA requirements so this is a great move into a high profile part of the business.
Skills and Experience
- 2yrs+ professional experience either in Financial Services, Accountancy, or a big Consultancy.
- Ready for a step up and want to prove you are ready for promotion in another 2 years.
- We can teach you the compliance components of the job – we have awesome experts!
- High attention to detail, and comfortable working with data.
- Able to analyse things in Excel: pivot tables, v:lookups etc…
- Curious how businesses work, and love to find that sweet spot where rules intersect with business needs in a meaningful way.
- You bring energy to get things done.
- Sense of humour.
Accountabilities
You play a critical role in risk management, regulatory assurance, and supporting a strong “identify and make it better” culture (excellent people drive solutions!). You will ensure compliance with our processes, activities, and controls, against regulatory requirements, internal policies, and risk expectations (you need to bring process review skills, we can teach you FCA rules). You will plan, execute, and report on compliance reviews and provide advice to the business and track corrective actions.
This is a true “learn by doing” role. You will get to work alongside Compliance professionals, gain practical exposure and build a strong foundation for career progression.
- Implement the Compliance Monitoring Framework and contribute ideas on how to improve it.
- Conduct risk-based reviews and testing.
- Produce high-quality reporting on findings of reviews and track delivery of identified actions – you may be contributing to management and Board reports.
- Support tracking and effective completion of monitoring tasks.
- Performing regular sample monitoring as required.
- Support Compliance colleagues with ad-hoc project work, such as when we need to provide due diligence processes (we grow by acquiring firms).
- Private Medical Insurance
- Life Assurance (4x)
- Group Income Protection
- Work From Anywhere policy
Our agile working environment means you may engage in various tasks and projects, which keeps work interesting and you get to develop and grow.
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