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Compliance Auditor

Employer
Trust In Soda
Location
London
Salary
600.00 GBP Daily
Closing date
11 Aug 2022

View more

Sector
Banking
Responsibilities
Accounting
Position/Level
Professional / Specialist
Contract Type
Contract / Interim
Language
English
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Compliance Auditor

Start: ASAP

Length of Contract: 6 months

Location: Central London

Rate: GBP600PD

IR35: Inside

Key Accountabilities:

  • Deliver high quality risk-based assurance reviews which identify and address root causes of issues arising and mitigates emerging Conduct Risk.
  • Manage review assignments to ensure that planned timescales are achieved.
  • Work collaboratively with business areas and key stakeholders to ensure that the review scope and approach is appropriate.
  • Prepare audit reports to the highest standards of clarity and substance ensuring that they meet the needs of all recipients.
  • Collaborate with the business to make recommendations for improvement that will address the root causes of issues identified and balance the regulatory risk and commercial objectives
  • Providing support to the business in overseeing and closing recommendations within the target dates agreed.
  • Ensure timely identification, analysis and communication of regulatory change and oversight of the businesses' completion of changes required to ensure compliance with new requirements.
  • Carry out sign off on marketing materials and financial promotions.
  • Provide accurate, practical support and advice to management and project members on how to approach and handle regulatory or substantive issues affecting the business and agree processes for addressing these issues.
  • Maintain a comprehensive understanding of the FCA/PRA's requirements and standards
  • Ensure Conduct Risk & Treating Customer Fairly implications are considered in promoting a culture that supports company activities.
  • Ensure the continued protection of information, by following all applicable Information Security policies and procedures and by reporting suspected weaknesses in information security controls to the Information Security Officer.
  • Understand how Conduct Risk, Treating Customers Fairly (TCF) Risk Management and Solvency II systems of Governance relate to both the role and the divisional activities and highlight any opportunities for improvement.
  • Comply with my clients Code of Conduct and other Company Policies and Procedures as appropriate to the role.
  • Provide support to the Data Protection and Financial Crime Team if required.

Required Knowledge and Skills:

  • An excellent understanding and awareness of the UK financial regulatory framework
  • Detailed knowledge of the insurance industry regulatory environment
  • Strong interpersonal, influencing and communication skills across all levels of staff and senior management
  • Competent knowledge of insurance and group risk protection products.
  • Relevant Legal, Internal Audit or Compliance qualification.
  • ICA Certificate/Diploma an advantage.

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