Compliance Monitoring Technician
Isle of Man
Our client seeks a Compliance Monitoring Technician to join their team on a 6 - 9 month contract.
Role Profile: Primary purpose of this role is to ensure the effective provision of second line assurance activity in the form of compliance monitoring to assess the adequacy of systems and controls in place are supported legal entities to mitigate regulatory risks including regulatory requirements, internal policies and procedures. You will support the Head of Risk in the delivery and reporting against the agreed Compliance monitoring plan.
In conjunction with the Head of Risk develop a compliance monitoring programme, to assist in the creation and delivery of the Compliance Monitoring Plan.
- You will be required to undertake analysis to understand both the commercial and operational drivers and identify potential solutions and be proactive about these when communicating review findings.
- Outputs will be used to assist in ensuring the optimal 3 + 9 plan is established and implanted on a quarterly cycle.
- Ensure effective knowledge transfer in respect of monitoring analytics and review findings in terms of translation into risk and control reporting to the Risk Team.
- Effectively lead Monitoring activity within agreed timescales and to required standard including identifying risk and regulatory issues and the resulting commercial materiality.
Key Skills and Responsibilities:
- At least 5 GCSEs including Maths and English and preferably working towards a financial services qualification.
- Significant experience of desk / IT based analysis, investigations and assessments
- Previous experience and/or significant exposure to assurance, audit, or compliance monitoring based activities
- Additional good knowledge of Compliance/Regulatory/Legislative, Risk or Governance requirements and resulting processes
- Good knowledge of financial products and industry practice
- Strong analytical skills and able to effectively explain complex issues/themes to diverse stakeholders
- Experience in defining and delivering quality reporting
- Good general organisation skills
- Preferable has some knowledge of working work compliance frameworks within a Compliance Function.
- Able to deliver quality reporting to key stakeholders.
- Able to demonstrate good organisational skill: able to work proactively, to prioritise work and to work well under pressure
- Good communicator.
Your specialist: Mark Burman
Quote job ref: 13477
Hi, I'm Mark and I look after all the temp / contract roles. If this exciting job sounds up your street, please submit your details, we look forward to hearing from you.