Compliance Monitoring Executive

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