Job Summary: To undertake Assurance activity and to provide regulatory guidance and support to the business.
- Designing, coordinating and carrying out a risk based compliance monitoring plan across the Group’s UK operation.
- Ensure Conduct Risk & Treating Customer Fairly implications are considered in promoting a culture that supports company activities. Deliver high quality risk based assurance reviews which identify and address root causes of issues arising and mitigates emerging Conduct Risk.
- Manage review assignments to ensure that planned timescales are achieved.
- Work collaboratively with business areas and key stakeholders to ensure that the review scope and approach is appropriate.
- Prepare audit reports to the highest standards of clarity and substance ensuring that they meet the needs of all recipients.
- Collaborate with the business to make recommendations for improvement that will address the root causes of issues identified and balance the regulatory risk and commercial objectives.
- Maintain a comprehensive understanding of the regulatory requirements and standards as they affect the company.
- Ensure the continued protection of company information, by following all applicable Information Security policies and procedures and by reporting suspected weaknesses in information security controls to the Information Security Officer.
- Providing support to the business in overseeing and closing recommendations within the target dates agreed.
- Ensure timely identification, analysis and communication of regulatory change and oversight of the businesses’ completion of changes required to ensure compliance with new requirements.
Candidates who are bi-lingual will have a strong advantage though not a must.
- Compliance Monitoring
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