Compliance Assurance Specialist

Equiniti; Worthing; Hybrid; GBP 30,000 - 60,000; Full time

Job summary

Join a forward-thinking company as a Compliance Assurance Specialist, where you'll play a crucial role in ensuring governance and compliance across various services. This position offers the chance to collaborate with stakeholders at all levels, enhancing your skills while contributing to the organization's commitment to excellence. With opportunities for hybrid working and a supportive environment, this role is perfect for those looking to make a meaningful impact in a dynamic field. Embrace the chance to grow and thrive in a company that values innovation and teamwork.

Benefits

Pension Plan with 10% Match

Long Term Incentive Plan

Employee Assistance Program

Life Assurance Cover

Employee Discounts

Flexible Benefits

28 Days Holiday + Bank Holidays

Volunteer Days

Learning and Development Investment

Qualifications

• Experience in compliance monitoring and risk management is beneficial.
• Ability to identify gaps in processes and propose solutions.

Responsibilities

• Conduct monitoring reviews against EQ products and services.
• Engage with stakeholders to assess the effectiveness of controls.
• Prepare Compliance Assurance Monitoring Reports for stakeholders.

Skills

Stakeholder Engagement

Verbal Communication

Written Communication

Analytical Skills

Problem-Solving

Microsoft Office

Managing Priorities

Job description

Management Level

G

EQ is a leading international provider of shareholder, pension, remediation and credit technology. With over 5,000 employees, it supports 37 million people in 120 countries. EQ’s purpose is to care for every customer and simplify every transaction, delivered with less of an impact on the environment.

EQ’ vision is to be the leading global share registrar, offering complementary services to its client base and our values set the core foundations to our success. We are TRUSTED to deliver on our commitments, COMMERCIAL in building long term value, COLLABORATIVE in our approach and we IMPROVE by continually enhancing our skills and services. There has never been a better time to join EQ.

Role Summary

We are looking for an EQ Group Compliance Assurance Specialist to join our team which is part of the EQ Group Governance, Risk, Compliance, Legal and Security division. The EQ Group Compliance Assurance team are responsible for reviewing and assessing the effectiveness and adherence to the governance controls across our regulated processes and procedures, which have been put in place to mitigate risks, providing assurance to the Group. The team, work across all areas of the Group, providing great opportunities for team members to develop their skills and knowledge across the full breadth of products and services offered by EQ.

Key Responsibilities will include:

• Planning and completion of monitoring reviews against EQ products and services, and centralised functions, in line with the agreed Compliance Assurance Monitoring Plan.
• Maintaining a good knowledge and understanding of the application of EQ’s regulatory responsibilities to support monitoring activities and the EQ risk framework.
• Engagement with stakeholders at all levels, to identify sources of evidence to support compliance monitoring and help assess effectiveness of controls & governance in place.
• Testing of processes, procedures, and governance controls, in place to mitigate risks.
• Identification and investigation of areas of non-compliance including insufficient or failures of controls Preparation of Compliance Assurance Monitoring Reports for stakeholders.
• Working closely with stakeholders to agree action plans to address gaps in controls and governance, and subsequent tracking of actions to completion in a timely manner.
• Development and improvement of Compliance Monitoring processes.
• Engagement with the business on Compliance Assurance function to support and improve outcomes for the EQ Group.

Skills and Experience

• Ability to build relationships with stakeholders at all levels
• Great verbal and written communication skills
• Experience of reviewing processes or services to identify gaps and propose solutions
• Ability to work calmly under pressure and deliver to tight deadlines
• Good analytical and problem-solving skills
• Efficiency in managing priorities and adapting quickly to change
• Excellent IT skills, including use of Microsoft Office

Useful but not essential

• Understanding of FCA rules, regulations, principles, and codes of practice
• Previous experience in Compliance Monitoring and or Risk Management
• Knowledge of EQ Products and Services

Please note, we are looking for full time candidates for this role but would be happy to discuss the potential for different work patterns ahead of your application. There is an initial requirement to work from our office based in Worthing during your period of training after which there will be the opportunity to work on a hybrid basis where 60% is office based.

What do we offer you?

Save for your Future – Equiniti Pension Plan – Equiniti matches you pension contributions up to 10%

All Employee Long Term Incentive Plan (LTIP) Gives EQ colleagues the opportunity to benefit if the current owners successfully sell the company for a profit.

Health and Wellbeing – Employee Assistance Programmes; counselling legal and wellbeing support for colleagues and their households. Life assurance cover at 4x salary with the ability to purchase enhanced cover.

Employee Discounts – Discounts and cashback at your favourite high street stores through our EQ Wins Platform.

Flexible Benefits – The ability to purchase a wide variety of benefits through our flex plans; gadgets, travel insurance, will writing, holiday trading and more.

Time Off - Typically 28 days holiday + bank holidays, 2 volunteer days to get involved with a charity of your choosing.

Winning Together – Equiniti ICON award vouchers; recognising the individuals going above and beyond to help the business succeed.

Learning and Development – Investment in LinkedIn Learning for all colleagues.

We are committed to equality of opportunity for all staff and applications from individuals are encouraged regardless of age, disability, sex, gender reassignment, sexual orientation, pregnancy and maternity, religion or belief and marriage and civil partnerships.

You should have the right to work locally and without restriction in the country where the job, for which you are applying, is based.

Please note if you are successful in your application, your new role may adhere to different Terms and Conditions than those of your current role. If you wish to discuss this further, please contact your HR Business Partner before progressing.

We are committed to equality of opportunity for all staff and applications from individuals are encouraged regardless of age, disability, sex, gender reassignment, sexual orientation, pregnancy and maternity, race, religion or belief and marriage and civil partnerships.

Please note any offer of employment is subject to satisfactory pre-employment screening checks. These consist of 5 year activity & GAP verification, DBS or Access NI, Credit, Sanctions & CIFAS checks.