Compliance Assurance Specialist

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 engaged individual who will bring their passionate and professional approach to working with different stakeholders across our globally based team.

This is a non-managerial role, and the individual should have either, a basic understanding of risk management, compliance monitoring or quality assurance within a financial services organisation, or a thorough understanding of the structure, products and services that Equiniti provide. Even better if they have both!

The individual will work as part of our Group Assurance Team conducting reviews across our global business to assure that the processes and controls in place, are in line with regulatory requirements and internal policies.

The role provides a fantastic opportunity to both grow knowledge and understanding of the regulatory environment we operate in and develop core auditing skills, including communication, stakeholder management.

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 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.
• Project management experience.

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 We Offer

• Save For Your Future – Equiniti Pension Plan; Equiniti matches your pension contributions up to 10%
• All Employee Long Term Incentive Plan (LTIP) – Gives all EQ Colleagues the opportunity to benefit if the current owners successfully sell the company for a profit.
• Health and Wellbeing – Employee Assistance Programme: counselling, legal & wellbeing support for colleagues and their households. Life assurance cover at 4x salary with the ability to purchase enhance 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 plan; 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.

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