295 Accounting Compliance jobs in the United Kingdom
Manager, HR Services Audit & Compliance
Huthwaite, East Midlands
Fresenius Medical Care North America
Posted 10 days ago
Job Viewed
Job Description
Manager, HR Services Audit & Compliance, will assist in the execution of FME's compliance program through designing, aligning and rolling-out our HR Services Audit & Compliance program. The role will lead a team who will undertake activities to prevent, detect and respond to emerging risk. The role with partner with global and local teams to define and implement controls, drive third-party management, audits and follow up on remediation measures.
**Your Tasks:**
+ Lead team of Senior Business Analysts including but not limited to establishing goals, assigning tasks and maintaining schedules
+ Design, develop and execute HR Services Audit and Compliance strategy
+ Accountable for developing HR Services Audit and Compliance framework
+ Create and rollout programs to achieve strategic vision
+ Partner with senior stakeholders to determine framework and execution of Global Internal Audit (GIA) intake and coordination for HR Services (HR Managers, HR Operations, Payroll Operations)
+ Ultimately accountable for global internal controls design and implementation for HR Services
+ Provide guidance on local HRS internal controls in alignment to global design and determine if need to remain as local controls
+ Lead discussions with HR and Payroll Global Process Owners on wider global HR and payroll process designs discussions and HR Service model transition efforts
+ Oversee team's administration of periodic audit of Workday, Payroll and Time & Attendance security roles,
+ Collaborate with teams to solution audit findings - determine preventive and corrective actions on both local, regional and global levels
+ Partner with stakeholders to validate new legislative changes and company policies on processes as well as HR, Payroll, Time & Attendance systems to meet compliance
+ Collaborate with Internal Controls, Information Security, Compliance and Data Privacy to ensure thid party contracts and business resiliency management plans are complete and align with Fresenius' standards
+ Act as an escalation for all HR Service teams to resolve compliance related incidents such as but not limited to data breaches, incorrect regulation interpretation affecting pay calculation etc.
+ Oversee, coordinate and report corporate HR risk management semi-annually
+ Accountable for the design and coordination of pre-audit readiness assessment procedures; executed quarterly
+ Drive business management and communication plans and standards for data security incidents (i.e., data breach, data loss)
+ Conceptualize and lead HR Service audit and compliance related training
+ Coordinate and liase with external third parties on audit activities
+ Develop and maintain job aids, checklists and other tools to facilitate execution
+ Communicate updates, system and business changes to stakeholders as needed
+ Collaborate with Quality Assurance and Knowledge Management on wider HR governance quality framework
+ Validate internal and SOX standards and controls are met
+ Take lead consultant role in projects where data handling process flows are being adjusted
+ Oversee team's project work where database migrations or security protocols are impacted
+ Support vendor relationship management including escalation management within respective field
+ Other tasks as assigned by the manager
**Your Profile:**
+ Bachelor's degree or equivalent business experience preferred
+ 6+ years' professional experience either within an HR environment or Audit/Compliance role
+ Multi-country experience with designing or executing internal or external audit and compliance tasks
+ Experience with validating policy or legal changes on processes
+ Experience in implementation of HR or payroll audit/compliance framework
+ Nice to have: experience in HR Service model adoptions or M&A activity
+ Nice to have: experience in creation of business resiliency management plans
+ Nice to have: experience with working with multiple external auditors
+ strong analytical skills to critically evaluate information
+ team player but also able to work independently.
+ Ability to build and maintain strong relationships across functions to drive teams towards success-based results
+ focused, goal driven, accountable, and exhibit significant attention to detail
+ HR and/ or Payroll process knowledge
+ Understanding of SOX, GDPR, data protection, compliance frameworks, audit flows
+ Microsoft tools
+ HCM systems, preferably Workday
+ Preferably ticketing systems, such as ServiceNow
+ Fluent English
+ Preferred additional European language
+ Flexibility in working hours to cover global timezones
+ Willingness to travel for on-site workshops
**Your Tasks:**
+ Lead team of Senior Business Analysts including but not limited to establishing goals, assigning tasks and maintaining schedules
+ Design, develop and execute HR Services Audit and Compliance strategy
+ Accountable for developing HR Services Audit and Compliance framework
+ Create and rollout programs to achieve strategic vision
+ Partner with senior stakeholders to determine framework and execution of Global Internal Audit (GIA) intake and coordination for HR Services (HR Managers, HR Operations, Payroll Operations)
+ Ultimately accountable for global internal controls design and implementation for HR Services
+ Provide guidance on local HRS internal controls in alignment to global design and determine if need to remain as local controls
+ Lead discussions with HR and Payroll Global Process Owners on wider global HR and payroll process designs discussions and HR Service model transition efforts
+ Oversee team's administration of periodic audit of Workday, Payroll and Time & Attendance security roles,
+ Collaborate with teams to solution audit findings - determine preventive and corrective actions on both local, regional and global levels
+ Partner with stakeholders to validate new legislative changes and company policies on processes as well as HR, Payroll, Time & Attendance systems to meet compliance
+ Collaborate with Internal Controls, Information Security, Compliance and Data Privacy to ensure thid party contracts and business resiliency management plans are complete and align with Fresenius' standards
+ Act as an escalation for all HR Service teams to resolve compliance related incidents such as but not limited to data breaches, incorrect regulation interpretation affecting pay calculation etc.
+ Oversee, coordinate and report corporate HR risk management semi-annually
+ Accountable for the design and coordination of pre-audit readiness assessment procedures; executed quarterly
+ Drive business management and communication plans and standards for data security incidents (i.e., data breach, data loss)
+ Conceptualize and lead HR Service audit and compliance related training
+ Coordinate and liase with external third parties on audit activities
+ Develop and maintain job aids, checklists and other tools to facilitate execution
+ Communicate updates, system and business changes to stakeholders as needed
+ Collaborate with Quality Assurance and Knowledge Management on wider HR governance quality framework
+ Validate internal and SOX standards and controls are met
+ Take lead consultant role in projects where data handling process flows are being adjusted
+ Oversee team's project work where database migrations or security protocols are impacted
+ Support vendor relationship management including escalation management within respective field
+ Other tasks as assigned by the manager
**Your Profile:**
+ Bachelor's degree or equivalent business experience preferred
+ 6+ years' professional experience either within an HR environment or Audit/Compliance role
+ Multi-country experience with designing or executing internal or external audit and compliance tasks
+ Experience with validating policy or legal changes on processes
+ Experience in implementation of HR or payroll audit/compliance framework
+ Nice to have: experience in HR Service model adoptions or M&A activity
+ Nice to have: experience in creation of business resiliency management plans
+ Nice to have: experience with working with multiple external auditors
+ strong analytical skills to critically evaluate information
+ team player but also able to work independently.
+ Ability to build and maintain strong relationships across functions to drive teams towards success-based results
+ focused, goal driven, accountable, and exhibit significant attention to detail
+ HR and/ or Payroll process knowledge
+ Understanding of SOX, GDPR, data protection, compliance frameworks, audit flows
+ Microsoft tools
+ HCM systems, preferably Workday
+ Preferably ticketing systems, such as ServiceNow
+ Fluent English
+ Preferred additional European language
+ Flexibility in working hours to cover global timezones
+ Willingness to travel for on-site workshops
This advertiser has chosen not to accept applicants from your region.
0
Senior Financial Accountant - Audit & Compliance
WV1 2AA Wolverhampton, West Midlands
£55000 Annually
WhatJobs
Posted 11 days ago
Job Viewed
Job Description
Our client is a reputable organisation seeking a highly experienced Senior Financial Accountant to join their finance team. This position is fully remote, offering the convenience and flexibility to work from home across the UK. You will be responsible for managing key aspects of the accounting function, with a strong emphasis on audit preparation, compliance, and financial reporting. This role demands a thorough understanding of accounting principles, regulatory requirements, and internal controls.
Key responsibilities include preparing accurate and timely financial statements in accordance with relevant accounting standards (e.g., IFRS, UK GAAP). You will lead the preparation for external audits, liaising with auditors, providing necessary documentation, and ensuring smooth audit processes. Your duties will also involve managing month-end and year-end close procedures, performing balance sheet reconciliations, and investigating and resolving accounting discrepancies. Ensuring compliance with tax regulations and other financial legislation is paramount. The ideal candidate will possess strong analytical and problem-solving skills, with the ability to interpret complex financial data and provide clear insights. Experience with accounting software (e.g., SAP, Oracle, QuickBooks) and advanced Excel skills are required. This is a fully remote role, requiring a self-motivated and organised individual who can manage their workload effectively and communicate clearly with team members and stakeholders virtually. You will play a vital role in maintaining the integrity of the company's financial records and ensuring adherence to all compliance requirements. This is an excellent opportunity for a seasoned accounting professional to contribute their expertise in a flexible, remote working environment, making a significant impact on the financial health and compliance of the organisation. The autonomy of this remote role allows for focused work and efficient execution of critical accounting tasks, supporting the company's financial governance.
Key Responsibilities:
Key responsibilities include preparing accurate and timely financial statements in accordance with relevant accounting standards (e.g., IFRS, UK GAAP). You will lead the preparation for external audits, liaising with auditors, providing necessary documentation, and ensuring smooth audit processes. Your duties will also involve managing month-end and year-end close procedures, performing balance sheet reconciliations, and investigating and resolving accounting discrepancies. Ensuring compliance with tax regulations and other financial legislation is paramount. The ideal candidate will possess strong analytical and problem-solving skills, with the ability to interpret complex financial data and provide clear insights. Experience with accounting software (e.g., SAP, Oracle, QuickBooks) and advanced Excel skills are required. This is a fully remote role, requiring a self-motivated and organised individual who can manage their workload effectively and communicate clearly with team members and stakeholders virtually. You will play a vital role in maintaining the integrity of the company's financial records and ensuring adherence to all compliance requirements. This is an excellent opportunity for a seasoned accounting professional to contribute their expertise in a flexible, remote working environment, making a significant impact on the financial health and compliance of the organisation. The autonomy of this remote role allows for focused work and efficient execution of critical accounting tasks, supporting the company's financial governance.
Key Responsibilities:
- Prepare financial statements and management reports.
- Lead the preparation and coordination of external audits.
- Ensure compliance with UK GAAP/IFRS and relevant financial regulations.
- Manage month-end and year-end closing processes.
- Perform balance sheet reconciliations and variance analysis.
- Oversee internal control systems and recommend improvements.
- Handle tax computations and filings.
- Provide financial insights and support to senior management.
- Qualified Accountant (ACA, ACCA, CIMA or equivalent).
- Significant experience in financial accounting, audit, and compliance.
- In-depth knowledge of UK GAAP and/or IFRS.
- Proficiency in accounting software and advanced Excel skills.
- Experience with tax regulations and reporting.
- Strong analytical, problem-solving, and communication skills.
- Ability to work independently and manage deadlines in a remote setting.
This advertiser has chosen not to accept applicants from your region.
1
Senior Financial Accountant - Remote Audit & Compliance
NE1 4AG Newcastle upon Tyne, North East
£60000 Annually
WhatJobs
Posted 2 days ago
Job Viewed
Job Description
Our client, a dynamic and growing financial services firm, is seeking a highly competent Senior Financial Accountant to bolster their audit and compliance function. This is a fully remote position, offering significant flexibility to candidates across the UK. You will be responsible for ensuring the accuracy and integrity of the company's financial records, managing the month-end and year-end close processes, and preparing detailed financial statements in accordance with relevant accounting standards (e.g., GAAP, IFRS). Your role will involve performing complex financial analysis, identifying variances, and providing insightful commentary to senior management. A key aspect of this position is supporting internal and external audits, ensuring all compliance requirements are met, and contributing to the continuous improvement of financial controls and processes. You will work closely with various departments to gather financial data, reconcile accounts, and resolve discrepancies. The ideal candidate will possess a strong understanding of accounting principles, excellent analytical skills, and proficiency in accounting software and ERP systems. Experience with audit procedures and regulatory compliance within the financial services sector is highly desirable. This role demands meticulous attention to detail, strong organizational skills, and the ability to manage multiple deadlines effectively in a remote setting. If you are a qualified accountant looking for a challenging and rewarding remote opportunity where you can make a significant impact, we encourage you to apply. You will play a crucial role in maintaining financial transparency and strengthening the company's financial infrastructure.
Key Responsibilities:
Key Responsibilities:
- Manage and oversee the month-end and year-end financial close processes.
- Prepare accurate and timely financial statements, including balance sheets, income statements, and cash flow statements.
- Perform detailed financial analysis, variance analysis, and reconciliations.
- Ensure compliance with relevant accounting standards (e.g., GAAP, IFRS) and regulatory requirements.
- Support internal and external audit processes, providing necessary documentation and explanations.
- Develop, implement, and maintain robust internal financial controls.
- Identify and resolve accounting discrepancies and issues promptly.
- Collaborate with other departments to gather financial information and support business decisions.
- Assist in budgeting and forecasting activities as required.
- Contribute to the continuous improvement of accounting processes and systems.
- Stay up-to-date with changes in accounting regulations and best practices.
- Qualified Accountant (ACA, ACCA, CIMA, or equivalent professional qualification).
- Bachelor's degree in Accounting, Finance, or a related field.
- Minimum of 5 years of progressive experience in financial accounting, with a strong understanding of audit and compliance.
- Proven experience with month-end/year-end close procedures and financial statement preparation.
- Proficiency in accounting software and ERP systems (e.g., SAP, Oracle, NetSuite).
- Strong knowledge of GAAP or IFRS.
- Excellent analytical, problem-solving, and organizational skills.
- Detail-oriented with a high degree of accuracy.
- Effective written and verbal communication skills, suitable for a remote role.
- Experience in the financial services industry is a significant advantage.
This advertiser has chosen not to accept applicants from your region.
2
Regulatory Compliance Officer
London, London
TP ICAP
Posted 28 days ago
Job Viewed
Job Description
Job Description
The TP ICAP Group is a world leading provider of market infrastructure.
Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions.
Through our people and technology, we connect clients to superior liquidity and data solutions.
The Group is home to a stable of premium brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform.
The Group operates from more than 60 offices in 27 countries. We are 5,300 people strong. We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist.
Role Overview
The Regulatory Compliance Officer will be responsible for identifying, interpreting and advising on regulatory requirements of TP ICAP’s EMEA businesses to ensure that TP ICAP pursues its strategic objectives in accordance with all applicable regulatory requirements. The successful candidate will directly advise senior stakeholders within corporate and broking divisions, and will support the EMEA Compliance function in its regular interactions with stakeholders on regulatory matters.
As a member of the EMEA Compliance Advisory team, you will report into the Senior Compliance Advisory Manager. As such, the role-holder will be a part of the EMEA Compliance function, based in TP ICAP’s London offices. The Regulatory Compliance Officer will work to create a compliance culture within the TP ICAP Group, with particular responsibility for the UK broking divisions.
Role Responsibilities
Experience / Competences
Concerned that you may not meet the criteria precisely? At TP ICAP, we wholeheartedly believe in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background. If you are enthusiastic about this role but find that your experience doesn't align perfectly with every aspect of the job description, we strongly encourage you to apply. You may be the ideal candidate for this position or another opportunity within our organisation. Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. Don't hesitate to take the leap and explore the possibilities. Your potential is what truly matters to us.
Company Statement
We know that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. That's why we're building a culture where everyone plays a part in making people feel welcome, ready and willing to contribute. TP ICAP Accord - our Employee Network - is a central to this. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement.
Location
UK - 135 Bishopsgate - London
The TP ICAP Group is a world leading provider of market infrastructure.
Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions.
Through our people and technology, we connect clients to superior liquidity and data solutions.
The Group is home to a stable of premium brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform.
The Group operates from more than 60 offices in 27 countries. We are 5,300 people strong. We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist.
Role Overview
The Regulatory Compliance Officer will be responsible for identifying, interpreting and advising on regulatory requirements of TP ICAP’s EMEA businesses to ensure that TP ICAP pursues its strategic objectives in accordance with all applicable regulatory requirements. The successful candidate will directly advise senior stakeholders within corporate and broking divisions, and will support the EMEA Compliance function in its regular interactions with stakeholders on regulatory matters.
As a member of the EMEA Compliance Advisory team, you will report into the Senior Compliance Advisory Manager. As such, the role-holder will be a part of the EMEA Compliance function, based in TP ICAP’s London offices. The Regulatory Compliance Officer will work to create a compliance culture within the TP ICAP Group, with particular responsibility for the UK broking divisions.
Role Responsibilities
- Horizon-scanning to detect and track emerging regulatory requirements.
- Interpreting emerging regulatory requirements and advising stakeholders on their potential impact and associated control requirements.
- Developing and maintaining relationships with stakeholders across TP ICAP, including the EMEA COO, the EMEA Head of Venues and Market Infrastructure, and Legal.
- Interacting with trade associations, exchanges and regulators as required, including representing TP ICAP at industry or regulatory meetings.
- Representing EMEA Compliance in internal governance meetings, such as the Regulatory Change Oversight Meeting, and in subsequent regulatory implementation projects.
- Creating and delivering training materials on regulatory requirements.
- Reviewing and drafting policies and procedures to comply with relevant regulatory requirements.
- Performing ad-hoc reviews and investigations in to TP ICAP’s adherence to its regulatory requirements.
- Supporting applications for new/amended regulatory permissions as required.
- Review output from the Compliance Monitoring Programme and implement remedial actions.
- Project work as required from time to time.
- Fulfil additional / ad hoc duties as required to meet the needs of the business and the EMEA Compliance function.
Experience / Competences
- Good working knowledge of the applicable requirements of the UK and EU financial services regime, including the FCA Handbook and key regulations e.g. MiFID II and SMCR etc.
- Previous experience analysing wholesale market regulations and assessing their impact.
- Excellent communication skills, both verbal and written.
- Able to build relationships and communicate effectively and efficiently to internal and external stakeholders.
- Able to work well with diverse groups and personalities.
- A bachelor’s degree or a period of work experience demonstrating equivalent ability.
- Prior experience at a regulator or government agency in drafting or reviewing financial services policy.
- Prior experience in a compliance role at another Financial Services firm.
- Knowledge of specific execution methodologies e.g. Name Give Up, Matched Principal, Exchange Give Up.
Concerned that you may not meet the criteria precisely? At TP ICAP, we wholeheartedly believe in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background. If you are enthusiastic about this role but find that your experience doesn't align perfectly with every aspect of the job description, we strongly encourage you to apply. You may be the ideal candidate for this position or another opportunity within our organisation. Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. Don't hesitate to take the leap and explore the possibilities. Your potential is what truly matters to us.
Company Statement
We know that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. That's why we're building a culture where everyone plays a part in making people feel welcome, ready and willing to contribute. TP ICAP Accord - our Employee Network - is a central to this. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement.
Location
UK - 135 Bishopsgate - London
This advertiser has chosen not to accept applicants from your region.
3
Compliance Officer
London, London
Career Legal
Posted today
Job Viewed
Job Description
Compliance Officer
International Law Firm
Permanent – London
Salary Up To £60,000pa + Benefits
My client, an international law firm, is actively recruiting for an experienced Risk & Compliance professional to join them on a permanent basis in their London office – working as their new Compliance Officer.
This role will be situated in their Business Acceptance team which operates on a global scale – working closely with their Singapore and Hong Kong teams. You’ll provide support in the completion of Business Acceptance tasks, mainly focusing on conflict searches and new business intake.
As the successful Compliance Officer, you’ll be responsible for:
- Analysing conflict search results to identify potential conflicts
- Researching new clients for CDD purposes
- Managing incoming requests for new client/matter openings
- Assisting with testing software upgrades linked to the Business Acceptance team
- Conducting sanctions screening
+ much more.
To be considered for this Compliance Officer opportunity, you’ll need to have/be the following:
- Have a minimum of 2 years’ experience in a Legal Compliance related role at a law firm
- Have a detailed and strong understanding of Anti-Money Laundering (AML) and Conflicts
- Have experience using Intapp Open
- Be able to work under pressure and prioritise effectively
- Be able to commute to the London office
For more information on this position and to see an in-depth job description, get in touch as soon as possible.
This firm is looking to review CVs immediately.
This advertiser has chosen not to accept applicants from your region.
4
Compliance Officer
Career Legal
Posted today
Job Viewed
Job Description
Compliance Officer
International Law Firm
Permanent – London
Salary Up To £60,000pa + Benefits
My client, an international law firm, is actively recruiting for an experienced Risk & Compliance professional to join them on a permanent basis in their London office – working as their new Compliance Officer.
This role will be situated in their Business Acceptance team which operates on a global scale – working closely with their Singapore and Hong Kong teams. You’ll provide support in the completion of Business Acceptance tasks, mainly focusing on conflict searches and new business intake.
As the successful Compliance Officer, you’ll be responsible for:
- Analysing conflict search results to identify potential conflicts
- Researching new clients for CDD purposes
- Managing incoming requests for new client/matter openings
- Assisting with testing software upgrades linked to the Business Acceptance team
- Conducting sanctions screening
+ much more.
To be considered for this Compliance Officer opportunity, you’ll need to have/be the following:
- Have a minimum of 2 years’ experience in a Legal Compliance related role at a law firm
- Have a detailed and strong understanding of Anti-Money Laundering (AML) and Conflicts
- Have experience using Intapp Open
- Be able to work under pressure and prioritise effectively
- Be able to commute to the London office
For more information on this position and to see an in-depth job description, get in touch as soon as possible.
This firm is looking to review CVs immediately.
This advertiser has chosen not to accept applicants from your region.
5
Compliance Officer
London, London
Lutine Bell
Posted today
Job Viewed
Job Description
Compliance Monitoring Officer
London – 2-3 days per week in the office
Salary: £60,000 - £70,000 + Bonus & Benefits
Lutine Bell are working with a leading Insurance organisation who are looking to appoint a Compliance Monitoring Officer into their expanding Compliance function.
Reporting to the Head of Compliance, the role provides compliance oversight through planning and leading projects to independently test and evaluate the effectiveness of regulatory controls, risk management process and governance practices across the organisation.
Core Responsibilities:
- Apply critical thinking to analyse information from multiple sources, drawing conclusions and making informed and timely, decisions.
- Simultaneously managing multiple assessment projects across all lifecycle stages (planning, testing, reporting, follow-up) using project and time management methods, ensuring timely delivery and quality with minimal supervision.
- Independently identifying and assessing risk, Identifying key controls within a process, designing internal controls and repeatable test plans.
- Conducting independent testing and validation of key controls to ensure they are well-designed and working effectively to reduce risks and provide good customer outcomes.
- Maintaining consistent, transparent communication and documenting weekly progress updates with second-line Business Partners and key first-line stakeholders throughout the project delivery lifecycle. Effectively presenting findings and recommendations to senior stakeholders and providing a thorough assessment of the internal control environment via both verbal presentations and formal written reports
Skills & Experiences:
- Financial Services experience within Compliance Monitoring or Audit
- Experience testing design and effectiveness of controls using a structured methodology framework. I.e. Internal/ External Audit
- Ability to provide insights using a range of tools and technology to analyse and visually represent data.
- Documenting findings, control gaps or areas of non-compliance and recommending improvements to reduce risk or improve operational efficiency
This advertiser has chosen not to accept applicants from your region.
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6
Compliance Officer
Lutine Bell
Posted today
Job Viewed
Job Description
Compliance Monitoring Officer
London – 2-3 days per week in the office
Salary: £60,000 - £70,000 + Bonus & Benefits
Lutine Bell are working with a leading Insurance organisation who are looking to appoint a Compliance Monitoring Officer into their expanding Compliance function.
Reporting to the Head of Compliance, the role provides compliance oversight through planning and leading projects to independently test and evaluate the effectiveness of regulatory controls, risk management process and governance practices across the organisation.
Core Responsibilities:
- Apply critical thinking to analyse information from multiple sources, drawing conclusions and making informed and timely, decisions.
- Simultaneously managing multiple assessment projects across all lifecycle stages (planning, testing, reporting, follow-up) using project and time management methods, ensuring timely delivery and quality with minimal supervision.
- Independently identifying and assessing risk, Identifying key controls within a process, designing internal controls and repeatable test plans.
- Conducting independent testing and validation of key controls to ensure they are well-designed and working effectively to reduce risks and provide good customer outcomes.
- Maintaining consistent, transparent communication and documenting weekly progress updates with second-line Business Partners and key first-line stakeholders throughout the project delivery lifecycle. Effectively presenting findings and recommendations to senior stakeholders and providing a thorough assessment of the internal control environment via both verbal presentations and formal written reports
Skills & Experiences:
- Financial Services experience within Compliance Monitoring or Audit
- Experience testing design and effectiveness of controls using a structured methodology framework. I.e. Internal/ External Audit
- Ability to provide insights using a range of tools and technology to analyse and visually represent data.
- Documenting findings, control gaps or areas of non-compliance and recommending improvements to reduce risk or improve operational efficiency
This advertiser has chosen not to accept applicants from your region.
7
Compliance Officer
Edenbrook
Posted today
Job Viewed
Job Description
Compliance Officer opportunity working with a top performing specialty insurer. You will play a key role in ensuring the business meets all regulatory, legislative and contractual obligations, including delegated authority agreements with insurers.
Key Responsibilities:
- Manage delegated underwriting agreements and co-manage delegated claims agreements with the Claims Manager.
- Liaise with insurers on renewals, compliance issues and required changes.
- Monitor and communicate regulatory/legislative developments.
- Identify and address compliance risks, providing guidance, support and training.
- Keep policies, procedures and manuals up to date.
- Develop and maintain an audit framework; conduct reviews and implement corrective actions.
- Act as key contact for external audits and oversee follow-up actions.
- Assess adequacy of internal systems, processes and record keeping.
- Provide compliance input on products, services and procedures.
- Support complaints handling and embed lessons learned.
- Work closely with operational teams to ensure compliance supports business activity.
Knowledge, Skills & Experience:
- 5+ years in a broad compliance role within insurance.
- Relevant qualification (ACII/ICA) desirable.
- Strong knowledge of FCA Handbook, FSMA and related regulations (IDD, GDPR, SMCR).
- Experience with compliance monitoring systems.
- Experience drafting service agreements/delegated authorities (desirable).
This advertiser has chosen not to accept applicants from your region.
8
Compliance Officer
London, London
Edenbrook
Posted today
Job Viewed
Job Description
Compliance Officer opportunity working with a top performing specialty insurer. You will play a key role in ensuring the business meets all regulatory, legislative and contractual obligations, including delegated authority agreements with insurers.
Key Responsibilities:
- Manage delegated underwriting agreements and co-manage delegated claims agreements with the Claims Manager.
- Liaise with insurers on renewals, compliance issues and required changes.
- Monitor and communicate regulatory/legislative developments.
- Identify and address compliance risks, providing guidance, support and training.
- Keep policies, procedures and manuals up to date.
- Develop and maintain an audit framework; conduct reviews and implement corrective actions.
- Act as key contact for external audits and oversee follow-up actions.
- Assess adequacy of internal systems, processes and record keeping.
- Provide compliance input on products, services and procedures.
- Support complaints handling and embed lessons learned.
- Work closely with operational teams to ensure compliance supports business activity.
Knowledge, Skills & Experience:
- 5+ years in a broad compliance role within insurance.
- Relevant qualification (ACII/ICA) desirable.
- Strong knowledge of FCA Handbook, FSMA and related regulations (IDD, GDPR, SMCR).
- Experience with compliance monitoring systems.
- Experience drafting service agreements/delegated authorities (desirable).
This advertiser has chosen not to accept applicants from your region.
9