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Joboffer number #124262

Compliance Monitoring Officer

CV Market client
United Kingdom
Job ad expired!

Darba sludinājuma numurs #124262

CV Market client
Lielbritānija
Darba sludinājuma termiņš beidzies!

Job ad expired!

Job Description

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. We are a FTSE 100 company operating in many diverse markets and pride ourselves at being at the forefront of each in terms of service quality and innovation.

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 based on the monitoring requirements determined by the Business Unit Support Teams and in accordance with the CLPRS Compliance Monitoring Procedures and methodologies (client requests will be taken into account where appropriate).
  • To maintain the CLPRS Compliance Monitoring Procedures and methodologies (and to adopt best practice and economies of scale where appropriate) whilst incorporating reasonable requirements agreed with the Business Partner "authorised firms".
  • 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 present monitoring findings to the relevant Business Customers at de-brief stage and in draft and final reports and to the Business Partners at an appropriate and agreed at final report stage. To additionally present findings to the Compliance Business Unit Support team and/or the Compliance Monitoring Manager/Compliance Director as required.
  • To maintain appropriate records relating to monitoring activity.
  • 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 provide support and guidance to the relevant Compliance Business Unit Support teams to ensure that remedial actions fulfil regulatory requirements.
  • To maintain and develop relationships with key business customers whilst retaining the independent status required of a monitoring function.
  • To escalate risks and issues to the Compliance Manager and/or Compliance Director as appropriate.
  • To undertake any other reasonable request by Compliance Director and/or line manager.

At Capita we aim to attract, develop and retain talented people. Once you enter into employment with us we are interested in investing in you for the long term. We've created an environment which empowers individuals and rewards performance.

Capita Resourcing welcome applications from all suitably qualified people regardless of gender, race, disability, age or sexual orientation.

Capita Resourcing is a trading name of Capita Resourcing Ltd. Services offered are those of an Employment Agency and Employment Business. Applicants will be required to register with us.


Darba sludinājuma numurs
#124262
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Compliance Monitoring Officer
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