Compliance Monitoring Officer
- Reference: ITIN.TB/13215
- Location: Bristol
- Salary: £30000.00 - £40000.00 per annum + BENEFITS
- Job type: Permanent
- Sector: Accountancy / Financial
- Date posted: 16/05/2012
The Capita Group Plc is the UK's leading business process outsourcing company. Our goal is simple - to help our huge range of public and private sector clients improve service to their customers. With over 40,000 employees, 20,000 clients and a turnover of over £2.7bn, Capita continues to grow year on year. Our capabilities include customer and administration services, IT services and financial services.
To monitor and report on the compliance of CLPRS with FSA, or local Regulator, other regulatory requirements and internal Capita policies (where appropriate) in line with the Compliance Monitoring Plan.
Provide specialist advice and guidance to the business in respect of non-compliance and potential improvements.
- To carry out the Compliance Monitoring Plan
- To maintain the CLPRS Compliance Monitoring Procedures and methodologie
- To engage with the BUS teams to ensure that relevant regulatory risks to the business are identified and addressed during monitoring
- Interpret and apply relevant regulatory guidance to the business areas and provide practical alternative solutions to the business where standards are deemed to be deficient
- To complete reports of monitoring findings are completed, including suggestions for relevant remedial actions
- To report on progress against plan and outstanding actions for governance or otherwise as required
- To undertake ad hoc compliance monitoring as and when requested by the Compliance Director and / or line Manager and provide reports of findings and any suggested remedial actions.
- To maintain and develop relationships with key business customers whilst retaining the independent status required of a monitoring function.
- FPC or equivalent desirable. Minimum Certificate in Financial Planning (level 1) or contractual commitment to achieve this within 12 months
- Knowledge of UK financial services regulatory requirements - especially, but not limited to, the FSA.
- Knowledge of Life & Pensions market, products and procedures, appropriate to the role.
•You will be required to undertake a CRB and Credit check to work within an FSA regulated business.
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