Senior Compliance Monitoring Officer - Basingstoke, United Kingdom - Sanderson

Sanderson

Verified Company

Basingstoke, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Senior Compliance Monitoring Officer

Salary:
£37,500 - £47,000 + benefits

Location:
Liverpool, Basingstoke, Edinburgh or Peterborough - Hybrid working

Who are Diligenta?
Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations.

A business that has beendescribed as 'home' by existing employees, we drive a culture that is founded on positive change and development.

The Opportunity

Due to continual growth our Compliance and Governance function is now looking for a Senior Compliance Monitoring Officer to join us on this exciting journey.

This involves providing internal and external stakeholders with an objective view of the effectivenessof regulatory controls across the business by undertaking aspects of the Compliance Monitoring Plan.

You'll be:

Leading on allocated reviews within Diligenta's annual Compliance Monitoring Plans on Diligenta's compliance with regulatory requirements, including Conduct Risk, and achievement of TCF compliant customer outcomes.
Assisting with the development of the Annual Compliance Monitoring Plan and continuous improvement of the Compliance Monitoring Procedures.
Assisting in developing Compliance Monitoring Officers by giving guidance and support and provision of feedback.
Deputising for the Compliance Monitoring Manager at client meetings as required.
Undertaking allocated Compliance Monitoring assignments under minimum supervision to the required timescales and quality and in accordance with Diligenta's Compliance Monitoring Methodology.
Agreeing appropriate and costeffective remedial management actions with relevant colleagues to address reported findings and, therefore, to meet regulatory obligations and deliver TCF compliant customer outcomes.
Tracking and reporting progress on remedial actions
Undertaking projects and other ad hoc activity as required.
Establishing and continuously developing formal/informal communication networks and effective working relationships with key internal and external stakeholders
Contributing positive ideas and experience to enhance the Compliance Monitoring methodology and professional working practices
Acting as an effective ambassador for the function, promoting a positive image of Compliance within Diligenta and with clients
Have a good understanding of the regulated environment, including awareness of FCA (particularly Conduct Risk and TCF), DPA and AML requirements and other regulations relating to UK life and pensions business (e.g., HMRC and tpr)
Understand business and how to develop a deep understanding of its needs, stakeholders and processes to ensure robust compliance.
Can demonstrate strong influence skills and communication to develop connections across business units.
Demonstrate examples of developing solutions and then implementing and monitoring them.

The Perks

25 days holidays + 8 bank holidays
Discretionary annual bonus
Company pension scheme membership
Gain professional accreditation on completion at no extra cost through our bespoke 24/7 professionally accredited online learning and development tools
Access to our Confidential Helpline is available to be used by you and your family
Develop your career through a wider global organisation of the TCS family