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Compliance Monitoring 6 Month Contract

IDEX Consulting Ltd
Job LocationSolihull
EducationNot Mentioned
Salary£40,000 - £50,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypeContract, full-time

Job Description

Leading life and pensions assurance business, are currently looking to hire a Compliance Monitoring Consultant to work on a 6 month project, the primary focus is to provide assurance to the board of the compliance of the business with FCA and Data Protection Act principles, ABI and JMLSG requirements.Duties

  • Undertake allocated compliance assurance reviews in line with the agreed plan to provide independent assurance to the board of the compliance of the business with regulatory and legislative requirements inclusive of FCA and Data Protection, ensuring that regulatory risks are identified with a particular focus on the identification of potentially unfair customer outcomes
  • This will include:
  • drafting terms of reference documents for allocated reviews
  • Validate the adequacy, effectiveness and operation of procedures and controls that minimise and mitigate regulatory risks to ensure compliance with applicable regulations, within the risk appetite set by the Board and that processes adhere to the conduct principles of the company
  • Undertake close out meetings with key stakeholders to clarify and agree findings
  • Draft and present assurance reports that objectively and accurately summarise findings, formulate recommendations and agree management responses and timescales which address the root cause and are proportionate to the risks identified
  • Monitor and track completion of actions, review evidence and confirm completion
  • Contribute to the content of the risk universe and preparation of a risk based assurance plan, anticipating potential risks arising and providing objective input to the identification and prioritisation of assurance activity
  • identify risks or opportunities and engaging the business in formulating pragmatic, customer focused and commercial solutions that minimise the risks and maximise the opportunities
    • If you have a solid good knowledge of FCA rules, customer outcomes and regulations especially those applicable to a life assurance company, and are able to assess risk, determine priorities and work on multiple tasks at the same time. And have a background from within a life and pensions firm I would love to talk to you.Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 3 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy. Required skills
  • Compliance Assistant
  • Compliance Officer
  • Compliance Manager
  • FCA compliance
  • Regulatory Controller

    • Keyskills :
    Compliance Assistant Compliance Officer Compliance Manager FCA compliance Regulaty Controller

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