• TA Second Line Audit Coordinator

    Job Locations UK-London
    # of Openings
    Risk and Compliance
    Position Type
    Permanent Full-Time
  • Role Description

    To participate in the execution of the Company’s Compliance Monitoring Plan as well as assisting in the delivery of the day-to-day compliance activities of the Company with the objective of ensuring that compliance arrangements are run in an efficient, effective and consistent manner.


    The Risk & Control officers role is to:

    • Promote the Compliance Culture within the Company.
    • Assist the Company in maintaining its compliance with regulatory obligations.
    • Provide support to the Company’s Senior Management by providing assurance on the systems and controls connected with the Company’s regulated activities.
    • Assist with Risk Event (including Breaches) reporting, and associated management of Action Plans.
    • Produce Risk Management Information.


    Compliance Monitoring Plan (CMP)

    • To undertake detailed Compliance Monitoring Reviews on the regulated activities of the Company and, in addition, carry out thematic reviews across the Company, identifying and recording issues arising from such work and pursuing them to resolution.
    • To complete all related monitoring activity documentation including scoping document, terms of reference, draft and final monitoring reports and test scripts, all to a high standard.
    • To carry out additional monitoring activities as required.

    • To ensure the Risk System is accurately and timeously maintained in relation. to completed Monitoring Reviews.
    • To ensure the actions agreed with management to remediate issues identified during monitoring reviews are followed up and appropriate evidence is obtained to give assurance that suitable controls have been applied.
    • To assist with external audits and recording issues arising from such visits and pursuing them to resolution.

    Compliance  Culture

    To promote and develop the compliance culture of the Company by:

    • Providing training as required to employees.
    • Being one of the points of contact for CASS related issues.
    • Regularly communicating on compliance with the Company and in particular with the Operational teams.
    • Promoting the requirement for Company employees to follow Compliance Policies and Procedures.

    Experience Required

    Experience in planning and undertaking compliance detailed reviews of financial services including thematic reviews and or undertaking quality assurance monitoring, identifying and recording issues from this work and ensuring remedial work is undertaken.

    • Proven skills in producing and presenting monitoring reports of an exceptional standard to senior management.
    • Ability to work to tight deadlines whilst ensuring the work undertaken remains to a high standard.
    • Excellent planning and prioritisation skills are essential.
    • Effective and concise verbal and written communication skills are essential.
    • Good knowledge of the English language and grammar.
    • Good attention to detail.

    About FNZ

    FNZ is a global FinTech firm, transforming the way financial institutions serve their wealth management customers.  We partner with banks, insurers and asset managers to help consumers better achieve their financial goals.  The business has grown rapidly in recent years, as its institutional customers have used FNZ’s platform to improve transparency, choice and drive down long-term costs for consumers of wealth management products across all segments: from mass-market workplace pensions to mass-affluent and high-net-worth clients.


    Today, FNZ is responsible for over £330 billion in assets under administration (AuA) held by around 5 million customers of some of the world’s largest financial institutions, including Standard Aberdeen, Santander, Lloyds Bank, Vanguard, Generali, Barclays, Quilter, UOB, Aviva, Zurich, UBS, BNZ, Findex and FNZC. In total, FNZ partners with over 60 financial institutions across the UK, Europe, Australia, New Zealand and South-East Asia.  The company has over 1,400 employees in the UK, Czech Republic, Shanghai, Singapore, Australia and New Zealand.


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