Senior Compliance Monitoring Officer Basingstoke
Job description
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 (eg, 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 Sanderson Recruitment
