Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do and our aim is to transform our clients' operations. A business that has been described as 'home' by existing employees, we drive a culture that is founded on positive change and development.
Summary of the role
Due to continual growth, our Compliance and Governance function is now looking for a Senior Compliance Monitoring Officer to join us on this exciting journey. This involves leading reviews on Diligenta's compliance with regulatory requirements, including Conduct Risk, and achievement of TCF compliant customer outcomes. You will also be responsible for assisting with the development of the Annual Compliance Monitoring Plan and improving the Compliance Monitoring Procedures. What you'll be doing
Perform peer reviews on Compliance Monitoring Reviews conducted by colleagues and provide constructive feedback prior to submission to QA Manager. Deputising for the Compliance Monitoring Manager at client meetings as required. Establish and continuously develop formal/informal communication networks and effective working relationships with key internal and external stakeholders. Contribute positive ideas and experience to enhance the Compliance Monitoring methodology and professional working practices. Act as an effective ambassador for the function, promoting a positive image of Compliance within Diligenta and with clients. Track and report progress on remedial actions. What we're looking for
Have a good understanding of the regulated environment, including awareness of FCA (particularly Conduct Risk and TCF), DPA and AML requirements and other regulations relating to UK life and pensions business (e.g., HMRC and tpr). Understand the business and how to develop a deep understanding of its needs, stakeholders and processes to ensure robust compliance. Can demonstrate strong influence skills and communication to develop connections across business units. Demonstrate examples of developing solutions and then implementing and monitoring them.
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Due to continual growth, our Compliance and Governance function is now looking for a Senior Compliance Monitoring Officer to join us on this exciting journey. This involves leading reviews on Diligenta's compliance with regulatory requirements, including Conduct Risk, and achievement of TCF compliant customer outcomes. You will also be responsible for assisting with the development of the Annual Compliance Monitoring Plan and improving the Compliance Monitoring Procedures. What you'll be doing
Perform peer reviews on Compliance Monitoring Reviews conducted by colleagues and provide constructive feedback prior to submission to QA Manager. Deputising for the Compliance Monitoring Manager at client meetings as required. Establish and continuously develop formal/informal communication networks and effective working relationships with key internal and external stakeholders. Contribute positive ideas and experience to enhance the Compliance Monitoring methodology and professional working practices. Act as an effective ambassador for the function, promoting a positive image of Compliance within Diligenta and with clients. Track and report progress on remedial actions. What we're looking for
Have a good understanding of the regulated environment, including awareness of FCA (particularly Conduct Risk and TCF), DPA and AML requirements and other regulations relating to UK life and pensions business (e.g., HMRC and tpr). Understand the business and how to develop a deep understanding of its needs, stakeholders and processes to ensure robust compliance. Can demonstrate strong influence skills and communication to develop connections across business units. Demonstrate examples of developing solutions and then implementing and monitoring them.
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