Compliance, Risk and Audit Officer
3173 Group is a leading UK firm of pensions experts, with a strong presence across the country. We're passionate about making a positive impact in the communities we serve, and we're looking for a talented individual to join our team as a Compliance, Risk and Audit Officer.
As a key member of our team, you'll play a vital role in ensuring the smooth operation of our business, identifying and mitigating risks, and maintaining the highest standards of compliance. You'll have the opportunity to work with a talented team of professionals, and contribute to the growth and success of our organisation.
About the Role
* Conduct annual compliance reviews and provide reports to the Risk and Audit Committee.
* Contribute to regular reviews of compliance documentation and procedures.
* Support the business by providing a compliance view on matters.
* Contribute and monitor the Quality and Compliance Monitoring Plan.
* Undertake Internal Audits across Functional areas of the Group's business processes.
* Facilitate external Audits, specifically for ISO 27001 Information Security and ISO 9001 Quality Assurance.
* Undertake Supplier Due Diligence.
* Contribute to the monitoring of an effective Business Continuity Plan/Disaster recovery plan.
* Contribute to the effective implementation of our GDPR protocols.
* Take a key role in how we record, monitor and report incidents.
* Contribute to regular analysis and review of Management Information within the Risk and Audit team.
* Support all of the Group's Functions to map their processes and help with regularly reviews and updates of their processes.
* Contribute to the production of analysis and reporting to key stakeholders on the risk and compliance profile of our businesses.
Requirements
* Knowledge of UK financial regulations, including FCA and PRA rules.
* A strong quality management background obtained from significant and relevant experience in a similar role.
* Competence and experience in implementing/assessing/monitoring ISO management standards, ISO 9001:2015 and or ISO.
* Experience in auditing and monitoring operational processes for quality assurance purposes.
* Creative and analytical approach to solving problems.
* An eye for detail, and ability to be objective.
* Ability to deal with conflicting demands ensuring key priorities and deadlines are met through effective time-management.
* Excellent knowledge of computerised systems e.g. Microsoft Office/Windows applications.
* Excellent written and verbal communication skills, and the ability to influence the behaviour of colleagues at all levels in the Business.
* The ability to understand what will add value and what will not and the ability to tailor your approach as and when required.
* Experience in the financial sector, and the pensions industry in particular, would be advantageous.
What We Offer
As a Compliance, Risk and Audit Officer at 3173 Group, you'll have the opportunity to work with a talented team of professionals, and contribute to the growth and success of our organisation. We offer a competitive salary and benefits package, as well as opportunities for professional development and career advancement.
Equality and Diversity
3173 Group is an equal opportunities employer, and we're committed to increasing the representation of disabled colleagues. If you have a disability or long-term health condition, and require support or an adjustment during the recruitment and selection process, please let us know. We'll do our best to provide you with the right support, and ensure that you're able to perform at your best.