compliance officer Liverpool, England
Job description
Salary: From £37460.00-£46825.00
Who are Diligenta?
Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as 'home' by existing employees, we drive a culture that is founded on positive change and development.
The Opportunity
Due to continual growth, our Compliance and Governance function is now looking for a Senior Compliance Monitoring Officer to join us on this exciting journey. This involves leading reviews on Diligenta's compliance with regulatory requirements, including Conduct Risk, and achievement of TCF & Consumer Duty compliant outcomes.
You will also be responsible for assisting with the development of the Annual Compliance Monitoring Plan and improving the Compliance Monitoring Procedures.
You'll be:
- Undertaking allocated Compliance Monitoring assignments under minimum supervision to the required timescales and quality and in accordance with Diligenta's Compliance Monitoring Methodology.
- Agreeing appropriate and cost-effective remedial management actions with relevant colleagues to address reported findings and, therefore, to meet regulatory obligations and deliver TCF compliant customer outcomes.
- Tracking and reporting progress on remedial actions
- Perform peer reviews on Compliance Monitoring Reviews conducted by colleagues and provide constructive feedback.
- Deputising for the Compliance Monitoring Manager at client meetings as required.
- Establish and continuously develop formal/informal communication networks and effective working relationships with key internal and external stakeholders.
- Contribute positive ideas and experience to enhance the Compliance Monitoring methodology and professional working practices.
- Act as an effective ambassador for the function, promoting a positive image of Compliance within Diligenta and with clients.
You should apply if you:
- Have a good understanding of the regulated environment, including awareness of FCA (particularly Conduct Risk, TCF, Vulnerable Customers & Consumer Duty), DPA and AML requirements and other regulations relating to UK life and pensions business (e.g., HMRC and tpr)
- Understand business and how to develop a deep understanding of its needs, stakeholders and processes to ensure robust compliance
- Can demonstrate strong influence skills and communication to develop connections across business units
- Demonstrate examples of developing solutions and then implementing and monitoring them
- Compliance Monitoring experience is not essential, but is advantageous
The Perks
- 25 days holidays + 8 bank holidays
- Discretionary annual bonus
- Company pension scheme membership
- Gain professional accreditation on completion at no extra cost through our bespoke 24/7 professionally accredited online learning and development tools
- Access to our Confidential Helpline is available to be used by you and your family
- Develop your career through a wider global organisation of the TCS family
