About 3173 Group
3173 Group is a leading UK-based firm of pensions experts, providing services to clients across the country from its offices in various locations. With a strong commitment to community involvement and support, the company aims to positively impact the communities it serves.
Our Culture
At 3173 Group, we value our employees and believe that their contributions are the foundation of our success. Our 'Above all else' culture policy reflects our 20-year history and guides our employees in their daily work. We strive to maintain a work environment that is inclusive, supportive, and conducive to growth and development.
Our Vision
We are excited about the future at 3173 Group, driven by the dynamic and challenging nature of the industry we operate in. Our excellent reputation has contributed to the growth of our business, and we aim to expand our client base and deliver integrated solutions through our innovative software platform, Mantle.
About the Role
We are seeking a Compliance, Risk and Audit Officer to join our team. As a key member of our Risk and Audit team, you will play a crucial role in ensuring the compliance and quality of our business processes. Your expertise will help us maintain our high standards and drive continuous improvement.
Key Responsibilities
* 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 and provide feedback to stakeholders.
* 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 recording, monitoring, and reporting 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 regular 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 27001.
* 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.