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SalaryCompliance Monitoring Officer
Business Area: Group General Counsel
Place of Work: London
Contract Type: Permanent
When you join USS, the size and scale of our pension scheme means you will have numerous opportunities to learn and develop your career. Given our size you'll have real autonomy and influence as you collaborate closely with a wide-ranging team of experts.
Our office is a vibrant place to work, and we offer flexibility of office/homeworking due to our hybrid model.
Our office is a vibrant place to work, and we offer flexibility of office/homeworking due to our hybrid model.
About the role
In your role as Compliance Monitoring Officer you will make a meaningful and valued contribution from the outset.
This role will provide a great opportunity to be involved in carrying out Compliance Monitoring activity with a focus on asset management, testing key business processes and controls to determine whether they comply with applicable regulations and legislation as per the annual Compliance Monitoring plan.
What you will be doing
As a trusted part of the Group General Counsel you will be responsible for:
- Responsible for carrying out monitoring reviews to determine whether key business processes and controls are designed and operating effectively to ensure compliance with key regulations and legislation.
- This will include communicating effectively with business functions through the life cycle of a review from issuing a term of reference through to closing actions because of the findings identified. (Primarily focused on Investment key processes)
- Utilise key systems to carry out core monitoring activity (e.g., monitoring of shareholding disclosures, market conduct surveillance)
- Support in the design, implementation, and maintenance of training content for staff to ensure it remains appropriate, including those with different learning preferences
- Working with the Senior Compliance Manager to develop the methodology for determining what reviews will be included in the Compliance Annual Plan, using a risk-based approach
- Support in the production of the Compliance MI pack and any associated root cause analysis and/or key trends across compliance with key policies and processes
- Ensure that any regulatory filings are accurate and reported within reporting timeframes
- Build and maintain strong relationships with colleagues within the Investment, Operations, Risk and Group General Counsel teams
About you
We know that sometimes people can be put off applying for a job if they don't tick every box, if you're excited about working for us and have most of the skills or experience we're looking for, then please apply, regardless of whether you meet all the requirements outlined in this profile.
To be successful in the role you will have:
To be successful in the role you will have:
- Sound knowledge and experience of asset management Compliance Monitoring and FCA regulatory concepts
- Experience of using systems for monitoring (e.g., Bloomberg or similar)
- Experience of public markets shareholding disclosure filings, knowledge of FundApps (or similar systems) (further or top up training can be given)
- Highly motivated with a willingness to develop business relationships at all levels in delivering pragmatic and proportionate Compliance Monitoring findings and actions
- Good communication, influencing and problem-solving skills
Why join us?
How we will reward you
- Great starting salary
- Generous annual leave package
- Access to a high quality pension scheme provided through Universities Superannuation Scheme
- Supportive people policies (including enhanced occupational sickness pay and family friendly pay)
- Financial contributions towards your personal development to help you maintain your physical and mental wellbeing
- Access to a range of health and wellbeing services i.e., private healthcare, discounted gym membership
- Learning and development opportunities to develop your skills, knowledge and talent
- Employee Volunteer Day’s to support the communities where you work and live
- Cycle to Work Scheme
Our culture and values
Our people are what makes us different. We work together to create a diverse and inclusive culture that embraces individuality, where people are welcomed and feel comfortable in the knowledge that they can be themselves. Our purpose firmly states the importance of members, putting them ‘front and centre’ of what we do. This is embedded through our values:
- Integrity
- Collaboration
- Excellence
About us
Universities Superannuation Scheme (USS) was established in 1974 as the principal pension scheme for universities and higher education institutions in the UK.
We work with around 330 employers to help build a secure financial future for more than 528,000 members and their families. We are one of the largest pension schemes in the UK, with total assets of around £75.5bn (at 31 March 2023). To find out more, please visit https://www.uss.co.uk
USSL is proud to be an equal opportunity employer. We strive to ensure our recruitment process is as flexible and inclusive as possible so we can attract diverse candidates and recruit the best talent. We want all candidates to perform at their best during the recruitment process, so if you need any reasonable adjustments or if there is anything we can do to help support you through your recruitment journey please let us know by contacting resourcing@uss.co.uk.
USSL is proud to be an equal opportunity employer. We strive to ensure our recruitment process is as flexible and inclusive as possible so we can attract diverse candidates and recruit the best talent. We want all candidates to perform at their best during the recruitment process, so if you need any reasonable adjustments or if there is anything we can do to help support you through your recruitment journey please let us know by contacting resourcing@uss.co.uk.
