Specialist, Compliance Monitoring

Job Description JOB PURPOSE:
To work as part of the Compliance Assurance Team (CAT) on the annual risk-based Compliance Assurance Programme (CAP), to ensure that the businesses, functions, and other areas of FAB UK operate in accordance with local (and wider, where relevant) rules and regulations.

KEY ACCOUNTABILITIES:
Work within the Compliance Assurance Team, supporting the Regional Head of Compliance, Europe to carry out their responsibilities as SMF16, in particular with respect to:
Compliance risk assessments.
Compliance Assurance Programme (CAP).
Co-ordination of Compliance RCSA.
Internal reporting.
Incident and issue management
Managing and responding to internal and external audits
Assist in undertaking the regulatory risk assessment process which will drive a risk-based CAP;
Assist in the creation of a risk based and proportionate CAP and develop Compliance Assurance procedures, test scripts and other relevant monitoring and testing templates;
Contribute to the planning, execution and reporting of CAP reviews in adherence with FAB UK Compliance Assurance procedures and Group Compliance assurance requirements;
Track implementation of corrective actions agreed with the business and undertake pre or post issue closure testing, when required;
Maintain an open, transpare...