Promote the Compliance Culture within the Company.
Assist the Company in maintaining its compliance with regulatory obligations.
Provide support to the Company's Senior Management by providing assurance on the systems and controls connected with the Company's regulated activities.
Assist with Risk Event (including Breaches) reporting, and associated management of Action Plans.
Produce Risk Management Information.
Key Role Activities
Compliance Monitoring Plan (CMP)
To undertake detailed Compliance Monitoring Reviews on the regulated activities of the Company and, in addition, carry out thematic reviews across the Company, identifying and recording issues arising from such work and pursuing them to resolution.
To complete all related monitoring activity documentation including scoping document, terms of reference, draft and final monitoring reports and test scripts, all to a high standard.
To carry out additional monitoring activities as required.
To ensure the Risk System is accurately and timeously maintained in relation to completed Monitoring Reviews.
To ensure the actions agreed with management to remediate issues identified during monitoring reviews are followed up and appropriate evidence is obtained to give assurance that suitable controls have been applied.
To assist with external audits and recording issues arising from such visits and pursuing them to resolution.
To promote and develop the compliance culture of the Company by:
Providing training as required to employees.
Being one of the points of contact for CASS related issues.
Regularly communicating on compliance with the Company and in particular with the Operational teams.
Promoting the requirement for Company employees to follow Compliance Policies and Procedures.
Microsoft Excel, powerpoint and Word
Ability to work to tight deadlines whilst ensuring the work undertaken remains to a high standard.
Excellent planning and prioritisation skills are essential.
Effective and concise verbal and written communication skills are essential.
Good knowledge of the English language and grammar.
Good attention to detail.
FNZ is the market leading provider of technology and administration services to major financial institutions in the platform and wealth management sectors across the globe. We partner with life companies, banks, asset managers and discretionary wealth managers to enable them to develop and distribute financial products and services to their customers across all major distribution channels.
FNZ has a strong blue-chip customer base including Standard Life, Axa Wealth, JP Morgan, HSBC, AMP, National Australia Bank, Bank of New Zealand, Friends Life, UBS, Zurich Financial and Close Brothers Asset Management. It has helped these customers grow to over £30 billion of platform assets in aggregate. FNZ now employs over 700 people with offices in Edinburgh, London, Bristol, Brno (Czech Republic), Wellington and Sydney.
Be part of a highly successful, rapidly growing, global business that is leading the delivery of financial services via cloud computing and partners with some of the world's largest companies;
Remuneration and career advancement is based on individual contribution and business impact rather than tenure or seniority;
We provide significant financial rewards for high performing individuals; and
We provide global career opportunities for our best employees at any of our offices in the UK, Czech Republic, Australia or New Zealand.
At FNZ, we recognise that diversity, inclusion and accessibility are important factors for our success. We embrace the unique perspective and capabilities of our current and future employees, which will help us continue to drive innovation and achieve our business goals. Recruitment decisions at FNZ are made in a non-discriminatory manner where all employees are valued and respected. In particular, we want to ensure accessibility needs are well supported thus, ensuring our recruitment process is fair and equitable for all applicants.
Please let us know if there is any support we can provide to ensure FNZ's recruitment process is fully accessible to you. You can contact us at firstname.lastname@example.org to discuss specific requirements.