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Senior Compliance Monitoring Officer

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The AA

Sep 20

  • Job
    Full-time
    Senior Level
  • Legal
    Banking & Finance

AI generated summary

  • You must have strong compliance experience in financial services, FCA knowledge, stakeholder communication skills, creative problem-solving, self-motivation, and exceptional organizational skills.
  • You will execute compliance reviews, deliver reports with corrective actions, prepare management information, contribute to the compliance plan, and collaborate on process improvements and investigations.

Requirements

  • Strong Compliance experience within the Financial Services industry.
  • Key knowledge of FCA principles and requirements as well as other regulatory requirements.
  • Ability to effectively liaise, influence, communicate, and negotiate with a range of stakeholders.
  • Creative and solution-thinker utilising strong business and commercial awareness.
  • Self-motivated, flexible, and able to prioritise multiple tasks.
  • Excellent organisational skills with a high attention to detail.

Responsibilities

  • Responsible for scoping and executing assigned compliance reviews on time, in line with the AA’s Compliance Monitoring Programme, ensuring regulatory risks, including Conduct Risk, Customer Outcomes, and Consumer Duty, are met.
  • Deliver well-structured reports prescribing appropriate, relevant, and pragmatic corrective actions.
  • Assist in preparing reports capturing relevant Management Information for distribution to governance forums, including the Executive Risk and Compliance Committee.
  • Contribute to the development and maintenance of the Risk-based Compliance Monitoring plan.
  • Support in leading ad-hoc investigative activities and Regulator thematic interactions as required.
  • Collaborate with the Compliance Monitoring Team and wider 2nd line assurance functions to continually improve processes and systems for assurance reviews, focusing on business service levels, productivity, efficiency optimisation, and long-term benefits.

FAQs

Do we support remote work?

Yes, we support remote work in a hybrid format, with 2 office days per week.

What type of employment is offered for this position?

The position is a permanent, full-time employment opportunity.

Is there an annual bonus associated with this role?

Yes, there is an annual bonus included as part of the benefits for this role.

What are the primary responsibilities of the Senior Compliance Monitoring Officer?

The key responsibilities include scoping and executing compliance reviews, delivering structured reports with corrective actions, and collaborating with the Compliance Monitoring Team to improve processes.

What experience is required for applicants?

Applicants need strong Compliance experience within the Financial Services industry, along with knowledge of FCA principles and regulatory requirements.

How many days of annual leave do employees get?

Employees receive 25 days of annual leave plus bank holidays, along with a holiday buying scheme.

What benefits are offered to employees?

Benefits include a pension scheme, free AA breakdown membership, discounts on insurance products, employee discount schemes, life assurance, and learning and development opportunities.

Does The AA have a diversity and inclusion policy?

Yes, The AA values diversity and actively seeks to create an inclusive environment where all employees can be themselves and feel they truly belong.

What is the location of this job?

The job is located in Basingstoke.

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The AA

It's OK, when you're with the AA​

Manufacturing & Electronics
Industry
5001-10,000
Employees
1905
Founded Year

Mission & Purpose

Since 1905, we have been committed to putting drivers first with innovative thinking and award-winning services. And today we offer even more than ever. ​ We have a driving service for pretty much anything you’ll ever need. Insurance, servicing and repair, driving lessons, buying and financing cars, roadside assistance and much more. ​ Our members have an unshakeable confidence because they have a multi-service driving partner for life. So, no matter what’s around the corner, it really is OK when you’re with the AA.​