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Compliance Monitoring Specialist

Job Introduction

To provide an effective risk and rules based Compliance monitoring service to SS&C, with potential to include Ireland and Luxembourg businesses


To provide support to the Director, Compliance Monitoring in delivering the relevant Compliance monitoring plans


To promote high ethical standards within SS&C


To assist SS&C in meeting its own regulatory obligations and the relevant commercial obligations SS&C has with its' clients

Role Responsibility

To deliver a variety of Compliance  monitoring reviews and reports as part of second line of defence activities to support the continued regulatory compliance of  SS&C UK, Ireland and Luxembourg entities

Conduct thorough and comprehensive Compliance monitoring reviews of all aspects of the relevant SS&C businesses, encompassing a review of the design and operational effectiveness and adequacy of departmental procedures and controls

Meet with Senior Management to discuss report recommendations and evidence exceptions

Support the Director 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 Compliance Monitoring reports when requested

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

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

Highlight any "Key Themes"/areas of weakness or risk to the Director Compliance Monitoring

To contribute to the development and maintenance of the Compliance Monitoring Risk Assessments and resulting monitoring plans.

Advise on potential remedial action

Undertake Compliance projects and any ad hoc additional tasks as required by the Director, Compliance Monitoring

The Ideal Candidate

Essential

  • 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 relevant SS&C business ( FCA, HMRC, AML and JLMSG, relevant UK & EU legislation)
  • Excellent attention to detail
  • Excellent inter personal skills
  • Excellent organisational 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
  • Good understanding of SS&C UK operational services including associated IT systems and products
  • Good understanding and working knowledge of SS&C standards and policies
  • Understanding of CSSF Luxembourg and CBI Ireland regulations

Desirable

  • Good understanding of SS&C UK operational services including associated IT systems and products
  • Good understanding and working knowledge of SS&C standards and policies
  • Understanding of CSSF Luxembourg and CBI Ireland regulations

We encourage applications from people of all backgrounds and particularly welcome applications from under-represented groups, to enable us to bring diversity of perspective to our thinking and conversation. It's important to us that we strive to have a workforce that is diverse in the widest sense.

All offers of employment are subject to background verification checks, including 5 year employment history, proof of eligibility to work in the UK, proof of address, credit check and criminal record check. The accuracy of all information you submit as part of your application is vital and may be used as part of the background checking process should you be successful.

SS&C

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