Compliance Monitoring Offic...

Compliance Monitoring Officer (Pensions)

Job Title: Compliance Monitoring Officer (Pensions)
Contract Type: Permanent
Location: Guildford
Salary: £40000 - £50000 per annum, Benefits: competitive package
Start Date: asap
Reference: BWD-MC-CMOP-G
Contact Name: Monika Carlton
Contact Email:
Job Published: January 31, 2017 15:56

Job Description

If you are a Compliance Monitoring Officer with corporate experience and want to use your professional knowledge in a pensions and workplace business, boast a deep knowledge of Compliance and Compliance Monitoring and are comfortable with the idea of travelling for business purposes, this role is most definitely right for you.

The primary focus will be to provide professional compliance guidance, compliance monitoring assistance and risk management.

Key Duties:

-    Contributing to the production and implementation of the Compliance Monitoring Programme in a timely manner.
-    Contribute to the risk assessment process by assisting in assessing, prioritising and documenting the major monitoring risks impacting (including but not restricted to conduct, TCF, industry, operational, financial and regulatory risks) on a quarterly basis.
-    Assist in investigating any significant issues of concern and report as appropriate.
-    Undertake monitoring activities in accordance with the Compliance Monitoring Programme, ensuring that all findings are documented and reported in a timely manner.
-    Pass on any Consultant development needs identified as part of the monitoring process to the Corporate Compliance Manager.
-    Where required assist with providing guidance on AML to all staff and report any instances of potential Money Laundering internally.
-    Where required assist with providing guidance on data protection to all staff and report any breaches internally.
-    Reporting instances of non-compliance and risk to the Corporate Compliance Manager in a timely manner.
-    Assist in providing the business with details of the corrective action required to remedy weaknesses identified during compliance investigations and monitoring in a timely manner.

Person Specification:

-    Proven experience of field based Compliance within a corporate pensions financial services environment.
-    Degree educated.
-    A minimum of the Certificate in Financial Planning or equivalent.
-    Pensions qualifications highly desirable – R04; J04; J05; AF3; R08 (at least one of these).
-    Preference to be at, or actively studying towards a QCF level 4, such as CII Diploma level, PMI Diploma.
-    Desired previous corporate pensions adviser experience.
-    Appreciation of both the FCA and The Pension Regulator requirements in respect of the corporate pensions arena.
-    Robust understanding of auto-enrolment requirements and flexible pension legislation.
-    Proven communication, analytical and interpretation skills.
-    Ability to communicate well at all levels, face to face, over the phone and in writing.
-    Report writing skills.
-    Self motivated, flexible team player.