Job Description
Role: Compliance and Assurance Officer
This is a full-time, permanent role working 37.5 hours per week.!
Competitive Market Leading Salary of between £35,000 and £40,000 per annum!
Annual Leave - 25 days plus Bank Holiday
Retail discounts
Daily Refreshments and Fruit Selection
On Site Car Park
Remote / Hybrid Working Pattern - B97
The Role:
The role will be responsible for managing our clients Groups monitoring and assurance program and operating as a second line of defence against breach of regulation, industry standards, company policy or failures in systems of internal control. This role is an FCA Certification role under the Senior Manager and Certification Regime.
Scope of Role
The role extends to all business areas and functions that comprise the Group.
Responsibilities
Maintain the Group Audit and Assurance Plan to monitor the work of independent auditors and first line assurance activities, notably those relating to ISO certification.
Establish and promulgate auditing and assurance standards across the group
Conduct risk based second line audits and reviews to ensure adherence to company policies and regulatory and industry codes and standards.
Evaluate the effectiveness of systems of internal control and work with managers to improve them continuously.
Investigate control failings.
Second line monitoring and reporting of material incidents, breaches and complaints and underlying trends.
Keep abreast of industry and regulatory developments as well as evolving best practices in compliance control and risk management.
Other Responsibilities
Assist in maintenance of governance registers:
Critical Supplier Register
Policy Register Support the wider aims of the team to raise awareness of risk management, compliance and governance practices across the group and to influence the thinking and actions of senior management!
RequirementsThe Person
Able to prioritise tasks, work on own initiative and manage a busy workload. Will be well organized, able to demonstrate a professional and diplomatic approach and understand the importance of confidentiality.
Skills needed:
Compliance experience working in a regulated environment.
A good understanding of risk management and auditing standards and their application in the development of audit and assurance plans.
Good understanding and working knowledge of current compliance practices and techniques, notably in relation to conduct risk; Treating Customers Fairly and Consumer Duty.
An understanding of ISO certification frameworks.
Problem solving and identifying solutions to issues.
Attention to detail.
Excellent written and spoken English