Compliance Monitoring Executive

Company	Pure Resourcing SolutionsSee more
Address	Suffolk, England
Form of work	Permanent, full-time
Salary	£30,000 - £40,000 per annum
Category	Human Resources

Job description

Are you ready to make a significant impact in the world of compliance and customer protection? Reporting to the Compliance Manager, the Compliance Monitoring Executive role at is a unique opportunity to support our commitment to delivering exceptional customer outcomes and maintaining regulatory compliance.
Key Responsibilities: As a Compliance Monitoring Executive, you will:

Independently assess and understand the key areas of risk within each Compliance Monitoring Review (CMR).
Effectively manage and coordinate CMRs from start to finish.
Actively engage with stakeholders and interviewees to ensure their involvement and commitment.
Identify areas of risk or non-compliance and recommend appropriate remedial actions.
Provide regular updates to our Compliance Manager and Key Stakeholders, delivering high-standard CMR reports.
Lead meetings with key stakeholders and present findings at Governance Committee meetings.
Support and provide 2nd line assistance to Key Stakeholders with outstanding Compliance Monitoring actions.
Independently identify key trends in CMR findings and offer necessary support and training to the team.
Promote the Group's policy on conduct risk and Consumer Duty consistently and proactively.

Qualifications, Knowledge, and Skills:

Essential: Financial Services experience, especially SIPPs.
Essential: Strong communication skills for effective engagement.
Essential: Ability to understand and apply new principles to your role.
Essential: Exceptional organizational skills to meet deadlines and work under pressure.
Essential: Ability to identify and address risks and non-compliance effectively.

For more information contact Sian Burke @ Pure

Refer code: 2457853. Pure Resourcing Solutions - The previous day - 2024-01-09 06:38