Here at Provident, there are a host of back office functions running behind the scenes to ensure we are keeping the customer at the heart of everything we do. One of the key areas is ensuring our colleagues at Head Office and across the field have a clear understanding of business objectives, with solid knowledge of how their individual role feeds into them.
We have a unique opportunity for an experienced Compliance Monitoring Officer to join our Bradford Head Office. You will provide assurance of 1st Line controls by completing monitoring reviews in line with the annual Compliance Monitoring Plan.
- Plan and conduct Compliance Monitoring reviews of the first line of defence to provide assurance of key control effectiveness, Conduct Risk awareness and adherence to group policies, procedures and relevant FCA regulations.
- Support and challenge the business in the development of regulatory procedures by identifying areas of weakness and making suggestions for improvement.
- Provide timely, professional, persuasive and factually accurate written reports on the outputs of reviews to relevant management and present conclusions to key stakeholders
- Ensure that issues identified from risk-based internal monitoring activities are the subject of agreed action plans with relevant business management
- Liaise with other members of Compliance and PF Internal Audit to ensure consistency and effective dissemination of best practices across the business
- Identify where the business is not effectively monitoring against policies, procedures and controls and responds suitably and punctually to the risks of not meeting those requirements.
Alongside the core values that Provident look for in all employees, we expect you to have knowledge and understanding of UK regulatory regime and handbooks, previous Compliance Monitoring, Internal Audit or Quality Assurance experience within a Financial Services business, and strong stakeholder skills.
You will have strong attention to detail, particularly for reading new regulation/guidance, and the ability to realistically and effectively assess the risk posed by issues identified
If you are interested in applying for the role please do so via the link provided. Should you wish to speak with a contact in Talent Acquisition for more information, contact Dominic.firstname.lastname@example.org