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Risk and Compliance Monitoring Specialist

Please Note: The application deadline for this job has now passed.

Job Introduction

To provide an effective risk and rules based Risk and Compliance monitoring service  to the DST UK business

To provide support to the Senior Manager, Risk and Compliance Monitoring in delivering the DST UK Risk and Compliance monitoring plan

To promote high ethical standards within DST UK

To assist DST UK in meeting its own regulatory obligations and the relevant commercial obligations DST has with its' clients




Role Responsibility

To deliver a variety of  Risk and Compliance  monitoring reviews and reports as part of second line of defence activities to support the continued regulatory compliance of  DST UK

Conduct thorough and comprehensive Risk and Compliance monitoring reviews of all aspects of the DST UK business, encompassing a review of the design and operational effectiveness and adequacy of departmental procedures and controls

Meet with DST UK Senior Management to discuss report recommendations and evidence exceptions

Support the Senior Manager Risk and Compliance Monitoring in delivery of the Quarterly Compliance and Controls Monitoring report (QMR)

To provide support and assistance in preparation for and delivery of the Quarterly Compliance and Controls Forum (QCCF).

Co-ordinate the production of other relevant Risk and Compliance Monitoring reports when requested

Facilitate DST UK's  Risk and Compliance control processes through the provision of compliance advice and support on operational procedural matters

Identify Risk and Compliance training requirements that may be necessary for designated business areas to implement  

To provide support to other members of the Risk and Compliance team when required

Highlight any "Key Themes"/areas of weakness or risk to the Senior  Manager Risk and Compliance Monitoring

To contribute to the development and maintenance of the Compliance Monitoring Risk Assessment and resulting monitoring plan.

Advise on potential remedial action

Attend DST UK client visits to discuss DST UK Risk and Compliance monitoring approach, process and plans

Undertake Risk and Compliance projects and any ad hoc additional tasks as required by the Senior Manager, Risk and Compliance Monitoring


The Ideal Candidate

  • Compliance Monitoring, Risk Assurance and/or Internal Audit experience within a Financial Services or Information Technology organisation
  • Good understanding of Corporate Services (Finance, HR, Legal, Risk and Compliance etc) and Information Technology/Information Security related key risks, controls and best practice governance for consideration in the completion of second line assurance reviews.
  • Good understanding of the rules and regulations and how they apply to the DST UK business ( FCA, HMRC, relevant UK & EU legislation)
  • CISI - Investment Operations Certificate
  • Excellent attention to detail
  • Excellent inter personal skills
  • Excellent organisational skills
  • Good presentation skills
  • Flexibility to work solo or as a member of a team within a structured team environment
  • Basic keyboard skills including extensive knowledge and use of MS office packages


Desirable skills:

  • Good understanding of DST UK operational services including associated IT systems and products
  • Good understanding and working knowledge of DST standards and policies


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