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 management 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
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 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 the Enterprise Risk and Compliance Function 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.
- Ability to adapt quickly to changing priorities within the business
- Strong attention to detail, particularly for reading new regulation/guidance
- Knowledge and understanding of UK regulatory regime and handbooks
- Strong written and oral communication skills
- Resilience in the face of challenge from Senior stakeholders
- Previous Compliance Monitoring, Internal Audit or Quality Assurance experience within a Financial Services business
- Ability to work independently and take pro-actively take ownership for own workload
- Ability to realistically and effectively assess the risk posed by issues identified
- Demonstrates a positive attitude and the ability to motivate others
- Degree level or relevant business/professional qualification
- Competitive Salary
- 25 days holiday Inc. all bank holidays
- Discretionary Employee Bonus
- Pension Scheme
- Company dress down policy
- Great working environment
From your first day working with us, we believe in looking after our employees and are dedicated to providing them with a safe, supportive and fair working environment across all areas of the company.
We also like to let our employees know that we appreciate their hard work by offering competitive salaries and a range of reward schemes as well as regular performance management reviews and appraisals so that you can monitor your career progress.
Equality, Diversity & Inclusivity
Provident Financial Group are an equal opportunities employer and values diversity within the company.
Here at Provident, there is a host of Head Office functions running behind the scenes to ensure we are keeping the customer at the heart of everything we do.