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Group Compliance Monitoring Officer

Eingestellt von Resource Management

Projektbeschreibung

ROYAL LONDON GROUP

GROUP COMPLIANCE MONITORING OFFICER, EDINBURGH

SALARY CIRCA £35,600 - £45,000 + EXCELLENT BENEFITS

BENEFITS - BONUS, 28 DAYS HOLIDAY + STATS, CONTRIBUTORY PENSION

Royal London is the largest mutual life, pensions and Investment Company in the UK, with group funds under management of £86.3 billion. Group businesses serve around 5.3 million policy holders and employ 2,859 people. (Figures quoted are as at 31 March 2015).

Our vision is making mutuality meaningful by becoming the most trusted & recommended life assurance and investment provider. We will hold uniquely positive relationships with our customers that make us the most trusted financial organisation and being the most recommended provider in each of our chosen markets will tell us when we've been successful.

An exciting opportunity has arisen for a Group Compliance Monitoring Officer on a 10+ month Fixed Term Contract to undertake monitoring of business areas compliance with key regulatory requirements that impact on the Royal London group of companies, in line with a monitoring plan developed by the Head of Compliance Monitoring.

RESPONSIBILITIES:

- Undertake monitoring in line with Plan and Royal London monitoring procedures, covering operations for the Consumer, Intermediary, Servicing and Group Functions.
- Draft and issue terms of reference for each review undertaken.
- Carry out fieldwork, including sample testing.
- Draft, and following review by the Head of Team, issue monitoring reports and tracking actions through to completion.
- Provide input into the compliance monitoring plan to reflect key regulatory risks and developments at the direction of the Head of Team.
- Immediately report all risks of a significant nature and their impact to the Head of Team.
- Maintain adequate records in accordance with the external regulatory rules & guidance.
- Undertake ad hoc reviews/investigations as required by Head of Team.
- Completion of mandatory CBTs covering a range of regulatory disciplines

SKILLS, QUALIFICATIONS & EXPERIENCE:

- Sound knowledge of compliance and industry standards and culture.
- Good working knowledge of all relevant FCA regulations (and those of other relevant regulators), covering a range of regulatory disciplines which will provide expert understanding of protection, pensions or savings product operations.
- Graduate and/or progressing towards professional qualification eg FPC, ACII, ICA Diploma
- Recent experience in a compliance monitoring/auditing role
- Relevant experience in protection, pensions and savings product operations.
- Good working knowledge of all relevant designated regulations
- Ability to build and maintain positive business relationships.
- Good presentational, written and oral communication skills
- Good organisational, planning, influencing and negotiating skills
- Strong IT/PC skills, Advanced Word and Excel

To apply, please use the 'Apply Online' link below.

For any further queries regarding the role, please contact (see below)

Projektdetails

  • Vertragsart:

    Contract

  • Berufserfahrung:

    Keine Angabe

Geforderte Qualifikationen

  • Kategorie:

    Sonstiges

Resource Management