Audit & Compliance Monitoring Officer
HybridPune, Maharashtra, India
Job Summary
Develop the Group Compliance Monitoring and Assurance Plan and conduct thematic reviews to evaluate business management information and investigate trends. Support the Audit and Monitoring Manager with quarterly reporting on compliance levels and maintain the Compliance Audit and Monitoring Actions Tracker. Proactively review observations, conclusions, and management responses to ensure legislative and regulatory requirements are met. Investigate breaches, provide advice on necessary actions, and develop appropriate KPIs and metrics for stakeholder reporting. Maintain a robust audit trail and collaborate with the Group Governance Team to promote a strong compliance culture across the business.
Required Qualifications
- Minimum 3 years of relevant experience within an audit or monitoring role in an FCA, SRA or equivalent regulated environment
- A combination of higher education and industry and/or role specific qualifications e.g., CII Diploma in Insurance
- Good knowledge of the insurance industry / UK regulatory environment
- Good knowledge & understanding of Compliance policies & procedures
- Excellent written and verbal communication skills; including the ability to communicate with technical and non-technical users
- Strong planning and organisation skills, with the ability to react to business needs & risks, and producing material in a timely manner
Desired Qualifications
- Teamwork – the ability to engage with all members of the team and to work together effectively
- Flexible approach and attitude to finding solutions to challenging situations
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