Compliance Assurance Specialist - Worthing, United Kingdom - Equiniti

Equiniti
Equiniti
Verified Company
Worthing, United Kingdom

1 month ago

Tom O´Connor

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Tom O´Connor

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Description
Management Level

G

Compliance Assurance Specialist

EQ is a leading international provider of shareholder, pension, remediation and credit technology. With over 5,000 employees, it supports 37 million people in 120 countries.

EQ's purpose is to care for every customer and simplify every transaction, delivered with less of an impact on the environment.

EQ' vision is to be the leading global share registrar, offering complementary services to its client base.

Business Function


We are looking for a Compliance Assurance Specialist to join our team which is part of the wider Governance, Risk, Compliance, Legal and Security division.

The Compliance team are responsible for reviewing and assessing the effectiveness and adherence to the governance controls, processes and procedures, that have been put in place to mitigate risks, providing assurance to the Group.

The team, work across all areas of the business, providing great opportunities for team members to develop their skills and knowledge across the full breadth of products and services offered by EQ.


Key Responsibilities will include:

  • Planning and completion of monitoring reviews against EQ products and services, and centralised functions, in line with the agreed Compliance Assurance Monitoring Plan.
  • Engagement with stakeholders at all levels, to identify sources of evidence to support compliance monitoring and help assess effectiveness of controls & governance in place.
  • Testing of processes, procedures, and governance controls, in place to mitigate risks.
  • Identification and investigation of areas of noncompliance including insufficient or failures of controls
  • Preparation of Compliance Assurance Monitoring Reports for stakeholders
  • Working closely with stakeholders to agree action plans to address gaps in controls and governance, and subsequent tracking of actions to completion in a timely manner.
  • Development and improvement of Compliance Monitoring processes
  • Engagement with the business on Compliance Assurance function to support and improve outcomes for the EQ Group.
Skills and Experience

  • Ability to build relationships with stakeholders at all levels
  • Great communication skills
  • Experience of reviewing processes or services to identify gaps and propose solutions
  • Ability to work calmly under pressure and deliver to tight deadlines
  • Good analytical and problemsolving skills
  • Efficiency in managing priorities and adapting quickly to change
  • Excellent IT skills, including use of Microsoft Office
Useful but not essential

  • Understanding of FCA rules, regulations, principles, and codes of practice
  • Previous experience in Compliance Monitoring and or Risk Management
  • Knowledge of EQ Products and Services
  • Project management experience
What We Offer

  • Save For Your Future
  • Equiniti Pension Plan; Equiniti matches your pension contributions up to 10%
  • All Employee Long Term Incentive Plan (LTIP)
  • Gives all EQ Colleagues the opportunity to benefit if the current owners successfully sell the company for a profit.


  • Health and Wellbeing

  • Employee Assistance Programme: counselling, legal & wellbeing support for colleagues and their households. Life assurance cover at 4x salary with the ability to purchase enhance cover.


  • Employee discounts

  • Discounts and cashback at your favourite high street stores through our EQ Wins Platform.


  • Flexible Benefits

  • The ability to purchase a wide variety of benefits through our flex plan; gadgets, travel insurance, will writing, holiday trading and more.


  • Time Off

  • Typically 28 days holiday + bank holidays. 2 volunteer days to get involved with a charity of your choosing.


  • Winning together

  • Equiniti ICON award vouchers; recognising the individuals going above and beyond to help the business succeed.
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