A UK retail financial services product provider covering all UK FS markets including Life, Pensions, Investments and General Insurance require an experienced compliance monitoring professional to conduct thematic reviews across the business as a whole. JOB DETAILS
As a Conduct Risk Monitoring Consultant you will form part of a small team and engage across the business in contributing to the conduct risk planning process and deliver a programme of conduct risk monitoring under the oversight of the Conduct Risk Monitoring Manager.
This in practical terms will involve a number of reviews over the course of the year for which you will be responsible for planning and scoping planned reach review and ensuring that all known risks are identified and documented prior to the practical commencement of actual monitoring activity and gathering of evidence.
You will ensure that investigations and remediation activity are completed to a high standard and that root cause has been learnt from and documented to a standard that can be relied upon.
Maintain effective relationships within the Division and with the business at all levels to enable the delivery of practical solutions to problems or the implementation of improved systems, processes or controls.
A common theme that forms part of your responsibilities will be to support the Conduct Risk Monitoring Director and the Conduct Risk Monitoring Manager in the development of proactive compliance strategies including recommendations and improvements to the Group Conduct Risk function as a whole.
You will already have a gained practical experience in planning, scoping, executing and compiling reports to a high standard within a compliance monitoring role at an FCA regulated financial services organisation. Your experience will also be supported by a strong technical understanding of the FCA handbook, rules and principles in relation to the retail financial services sector including systems and controls and conduct of business. Candidates with an Actuarial qualification, Math's degree, Prudential Risk or Data Analytics background would as an alternative also be considered. A good understanding of risk management and familiarity with risk management systems is essential as well as the ability to analyse and interpret complex information/situations effectively to draw conclusions and propose well-reasoned guidance.
Being part of an established and recognised leader in its field will provide great benefits to you personally and professionally. There are a number of teams on site that are concerned specifically with conduct risk which in itself could provide future opportunities to progress professionally. Furthermore the organisation has a culture of promoting from within. With modern offices, a great location and pleasant local environment you will enjoy a good work life balance which the organisation positively encourages.
Please quote 40560 when calling Alexander Lloyd on 01293 572900 and ask for our Compliance division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.