Risk Assurance and Compliance Specialist

4 weeks ago

Sutherland Shire, Australia Equiniti Full time

Management Level

Role Summary

We are seeking a highly skilled Technical, Regulatory and Risk Specialist to join our Compliance & Risk team at Equiniti, supporting the EQ Paymaster Workplace, Life & Pensions (WL&P) business.

The main functions of the role will be to:

  • Ensure regulatory and legislative developments are identified through Horizon scanning
  • Provide support for changes to EQ Retirement Solutions (EQRS) policies, procedures, and systems to ensure compliance with regulatory requirements and mitigate potential risks
  • Responsible for providing pensions technical, compliance and regulatory guidance to EQRS
  • Complete all mandatory training on an annual basis
  • Establishing effective working relationships with key personnel within the business and across the industry

Role specifics

The holder of this role will be responsible for oversight and regulatory guidance, monitoring and assurance for EQRS and its clients.

  • Attend the Regulatory Change Working Group
  • Contributing to regulatory change consultations where required
  • Monitoring regulatory change activity, coordinating information and working with stakeholders across EQRS
  • Conducting assurance testing and sign off following regulatory changes
  • Responding to technical and compliance queries
  • Provide technical support for projects, communications, and training
  • Work collaboratively and in partnership with stakeholders
  • Support the 1st Line application of the risk management framework across EQRS and relevant clients

Other general day-to-day duties will include:

  • Identifying any trends or training needs and make recommendations to mitigate repeat findings
  • Carry out project and ad-hoc activities as determined by your line manager

Skills, Capabilities and Attributes

Essential

  • Excellent knowledge of tPR, FCA industry regulations, and all current pensions legislation
  • Proficient IT skills especially knowledge of core Microsoft Office applications.
  • Numerate, articulate, excellent attention to detail, good grammatical skills and able to present complex information in plain English
  • Ability to see the bigger picture and think strategically
  • Able to persuade and influence others to achieve agreed objectives
  • Experience of dealing with stakeholder groups/external organisations
  • Analytical thinker with an enquiring mind
  • Understanding of risk management activities
  • Financial awareness

Desirable

  • Understanding Risk Management Information Systems
  • Organised and self-motivated
  • Able to develop and manage relationships.
  • APMI or equivalent relevant experience or qualification
  • Pensions technical/compliance experience
  • Retirement provision Certificate/FPC/QPA
  • Active APMI student
  • A good working knowledge of pensions administration software

Knowledge & Skills Requirements

  • Ability to work within processes and procedures
  • Microsoft Office packages

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.

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