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- Tasks: Join our team to assess governance controls and mitigate risks across EQ's services.
- Company: Equiniti is a global leader in shareholder and credit technology, supporting millions worldwide.
- Benefits: Enjoy flexible working, health support, generous leave, and employee discounts.
- Why this job: Develop your skills in a collaborative environment while making a real impact on compliance.
- Qualifications: Strong communication, analytical skills, and experience in compliance or risk management preferred.
- Other info: Initial training in Worthing with potential for hybrid work; must have the right to work in the UK.
The predicted salary is between 36000 - 60000 £ per year.
Equiniti 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's vision is to be the leading global share registrar, offering complementary services to its client base. Our core values are TRUSTED (delivering on commitments), COMMERCIAL (building long-term value), COLLABORATIVE (approach), and IMPROVE (continual enhancement).
We are seeking an EQ Group Compliance Assurance Specialist to join our Governance, Risk, Compliance, Legal, and Security division. The team reviews and assesses the effectiveness of governance controls across our regulated processes to mitigate risks and provide assurance to the Group. This role offers opportunities to develop skills across various products and services offered by EQ.
Key Responsibilities include:- Planning and executing monitoring reviews of EQ products, services, and functions, in line with the Compliance Assurance Monitoring Plan.
- Maintaining knowledge of EQ's regulatory responsibilities to support monitoring and risk frameworks.
- Engaging with stakeholders at all levels to gather evidence and assess control effectiveness.
- Testing processes, procedures, and governance controls to mitigate risks.
- Identifying and investigating non-compliance and control failures; preparing monitoring reports.
- Collaborating with stakeholders to address control gaps and tracking actions to completion.
- Developing and refining compliance monitoring processes.
- Supporting the business to improve compliance outcomes.
- Ability to build relationships with stakeholders at all levels.
- Excellent verbal and written communication skills.
- Experience reviewing processes or services to identify gaps and propose solutions.
- Ability to work calmly under pressure and meet deadlines.
- Strong analytical and problem-solving skills.
- Efficient in managing priorities and adapting to change.
- Proficient in Microsoft Office and IT skills.
- Understanding of FCA rules, regulations, principles, and codes of practice (useful but not essential).
- Experience in Compliance Monitoring and/or Risk Management.
- Knowledge of EQ Products and Services.
Note: The role is full-time, with initial training in Worthing and potential for hybrid work (60% office-based).
What we offer:- Retirement savings with EQ Pension Plan (company matches up to 10%).
- Long-term Incentive Plan (LTIP).
- Health & Wellbeing support, including Employee Assistance Programmes and life assurance.
- Employee discounts and flexible benefits.
- Annual leave of 28 days plus bank holidays and volunteer days.
- Recognition awards and learning opportunities via LinkedIn Learning.
We promote equality and encourage applications from all backgrounds. You must have the right to work in the UK. Successful applicants will undergo pre-employment screening, including background checks.
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Finance
Compliance Second Line Assurance employer: Equiniti
Contact Detail:
Equiniti Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Second Line Assurance
✨Tip Number 1
Familiarise yourself with FCA rules and regulations, as this knowledge will be crucial in demonstrating your understanding of compliance requirements during interviews. Consider reviewing recent changes or updates to these regulations to show that you are proactive and well-informed.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work at Equiniti or similar companies. Engaging with them on platforms like LinkedIn can provide insights into the company culture and expectations, which can help you tailor your approach when applying.
✨Tip Number 3
Prepare for potential interview questions by practising how you would handle specific compliance scenarios. Think about examples from your past experience where you identified gaps or proposed solutions, as these will showcase your analytical and problem-solving skills.
✨Tip Number 4
Demonstrate your ability to collaborate effectively by preparing examples of how you've worked with stakeholders in previous roles. Highlighting your communication skills and teamwork will resonate well with Equiniti's core values of being collaborative and trusted.
We think you need these skills to ace Compliance Second Line Assurance
Some tips for your application 🫡
Understand the Role: Read through the job description carefully to understand the key responsibilities and skills required for the Compliance Second Line Assurance role. Tailor your application to highlight how your experience aligns with these requirements.
Craft a Strong CV: Ensure your CV is up-to-date and clearly outlines your relevant experience, particularly in compliance monitoring and risk management. Use bullet points for clarity and focus on achievements that demonstrate your analytical and problem-solving skills.
Write a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Highlight specific experiences that showcase your ability to build relationships with stakeholders and your understanding of regulatory responsibilities.
Proofread Your Application: Before submitting, thoroughly proofread your CV and cover letter for any spelling or grammatical errors. A polished application reflects attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Equiniti
✨Understand the Regulatory Landscape
Familiarise yourself with the FCA rules and regulations relevant to the role. Being able to discuss these during your interview will demonstrate your commitment to compliance and your understanding of the industry.
✨Showcase Your Analytical Skills
Prepare examples of how you've identified gaps in processes or services in previous roles. Highlight your problem-solving abilities and how you proposed effective solutions, as this is crucial for the Compliance Second Line Assurance position.
✨Engage Stakeholders Effectively
Think about past experiences where you've successfully built relationships with stakeholders. Be ready to discuss how you gathered evidence and assessed control effectiveness, as collaboration is key in this role.
✨Demonstrate Calmness Under Pressure
Prepare to share instances where you've managed tight deadlines or high-pressure situations. This will show your potential employer that you can maintain composure while ensuring compliance and mitigating risks.
