Compliance Monitoring Analyst
other jobs eFinancial Careers
Added before 1 Days
- England,West Midlands,Birmingham
- full-time, full-time
- Competitive salary
Job Description:
Purpose:
*Monitor compliance to assess business and TPAs adherence to regulatory standards and requirements.
*Work with established processes within the business & clientele, to manage risk and consumer duty requirements.
*Liase internally to review & improve processes.
Duties & Responsibilities:
*Work with the Compliance Monitoring Manager to develop, maintain & deliver the second line monitoring plan. (CMP)
*Implement and manage second line reviews, in line with regulatory and conduct risk topics outlined in the CMP.
*Run compliance monitoring on all FCA regulated activities within the business and TPAs.
*Produce individual reports and the quarterly CMP report.
*Liase with Head of Risk & Compliance (HoRC) to periodically review the CMP.
*Full job description is available upon request.
Conduct Requirements
*You must act with integrity.
*You must act with due care, skill and diligence.
*You must be open and cooperative with the FCA and other regulators.
*You must pay due regard to the interests of customers and treat them fairly.
*You must observe proper standards of market conduct.
*Monitor compliance to assess business and TPAs adherence to regulatory standards and requirements.
*Work with established processes within the business & clientele, to manage risk and consumer duty requirements.
*Liase internally to review & improve processes.
Duties & Responsibilities:
*Work with the Compliance Monitoring Manager to develop, maintain & deliver the second line monitoring plan. (CMP)
*Implement and manage second line reviews, in line with regulatory and conduct risk topics outlined in the CMP.
*Run compliance monitoring on all FCA regulated activities within the business and TPAs.
*Produce individual reports and the quarterly CMP report.
*Liase with Head of Risk & Compliance (HoRC) to periodically review the CMP.
*Full job description is available upon request.
Conduct Requirements
*You must act with integrity.
*You must act with due care, skill and diligence.
*You must be open and cooperative with the FCA and other regulators.
*You must pay due regard to the interests of customers and treat them fairly.
*You must observe proper standards of market conduct.
Job number 1860275
metapel
Company Details:
eFinancial Careers
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