Job Description Title: Reports To: Overtime Status: Senior Compliance Monitoring Officer Head of Compliance & Risk Not applicable Pay Grade: Benchmark Job: Job Code: Revised By: United Kingdom Description D J Ogden 24/09/2014 An integral role with the primary objective to conduct second line of defense, risk-based monitoring activity, across all areas of the business, in line with regulatory requirements, internal guidance and client requirements. This is a Supervisory to provide direction, support & development to the Compliance Monitoring Officer Principal Responsibilities Responsible for the delivery of second line of defense risk-based monitoring against both the short and long term compliance plans Responsible for implementing a Compliance Monitoring strategy in line with business objectives Transferring expertise, supporting and giving direction to the Compliance Monitoring Officer Provide recommendations for continuous improvement to Head of Compliance & Risk Communicate with key members of the Senior Management Team in relation to Compliance Monitoring activity Input into the Annual Compliance Monitoring Plan Oversee supplier audits/due diligence in accordance with Company and Client service level agreements, and the Company’s monitoring plan Conduct regular and structured compliance monitoring of specified review areas and identify reportable issues Appraise adequacy of internal controls and systems Make recommendations on process changes in order to enhance regulatory compliance and SLA adherence Determine through thorough testing the level of adherence to company, client and regulatory requirements Preparing reports and present findings to management and key stakeholders Maintain internal control systems by updating monitoring frameworks Page 1 of 3 2/18/2016 Job Description Liaising with Client auditors and internal management to facilitate an effective external audit process Review and provide documentation to support external audit processes Conduct regular 1-2-1s and review personal development plan for the Compliance Monitoring Officer Skills, Experience & Attributes Experience of working in a monitoring environment, developing and delivering robust risk based compliance monitoring Experience of working within an FCA regulated role Good knowledge and understanding of FCA requirements, DPA, OFCOM, FOS and LSB A good communicator, both written and verbal, with proven experience of communicating with members of the Senior Management team, or the ability to demonstrate confidence in this area Pro-active, considered and systematic approach in order to deliver accurate reviews of key business processes An eye for detail, an analytical approach and the ability to be objective are key skills required for this role A desire to learn, take on board feedback, work independently and as part of a team are all essential attributes to progress within this role Displays a genuine passion for compliance and a commitment to both personal development and the development of the business Conducts themselves with professionalism and objectivity Scope This is a supervisory role Relationships: o Internal - all departments. o External – Clients Work Environment Office environment. Page 2 of 3 2/18/2016 Job Description Disclaimer The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Employer reserves the right to modify this job description, including by adding, removing, and altering job duties. Page 3 of 3 2/18/2016