Audit & Compliance Monitoring Officer

Davies
Pune
Workplace: HybridFull timeFunction: Legal, Risk & ComplianceExperience: 3+ yearsSkills: ["Teamwork","Stakeholder management","Interpersonal skills","Written communication","Planning and organisation"]

Support the Group Compliance Monitoring and Assurance Plan by assisting the Audit and Monitoring Manager with monitoring, assurance, thematic reviews, and reporting. Proactively review management information, investigate trends and potential breaches, and maintain an audit trail and action tracker. Deliver high-quality reports and recommendations, develop KPIs/metrics, and provide compliance guidance to business stakeholders to strengthen the control environment and compliance culture.

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Davies
Davies
1 day ago

Audit & Compliance Monitoring Officer

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Last checked: 6 hours agoStatus: Live

Job Summary

Support the Group Compliance Monitoring and Assurance Plan by assisting the Audit and Monitoring Manager with monitoring, assurance, thematic reviews, and reporting. Proactively review management information, investigate trends and potential breaches, and maintain an audit trail and action tracker. Deliver high-quality reports and recommendations, develop KPIs/metrics, and provide compliance guidance to business stakeholders to strengthen the control environment and compliance culture.
Location: Pune
Workplace: Hybrid
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Assist with the development, enhancement, and delivery of the Group Compliance Monitoring and Assurance Plan (CMP).
  • •Support quarterly updates and reporting on compliance levels arising from monitoring.
  • •Prepare terms of reference for thematic reviews and carry out thematic monitoring reviews in line with the CMP, producing reports and recommendations.
  • •Complete quality assurance spot checks and maintain a robust audit trail of observations, conclusions, and management responses.
  • •Investigate breaches, make resolution recommendations, maintain the compliance audit and monitoring actions tracker, and provide guidance to the business to address issues through to resolution.

Key Requirements

  • •Minimum 3 years of relevant experience in an audit or monitoring role within an FCA, SRA or equivalent regulated environment.
  • •A combination of higher education and industry and/or role-specific qualifications (e.g., CII Diploma in Insurance).
  • •Good knowledge of the insurance industry and the UK regulatory environment.
  • •Good understanding of compliance policies and procedures.
  • •Excellent written and verbal communication and stakeholder management in a fast-paced environment.
Experience:3+ yearsInsuranceRegulated environmentUK regulatory
Skills:TeamworkStakeholder managementInterpersonal skillsWritten communicationPlanning and organisation
Certifications:CII Diploma in Insurance

Company Brief

Davies
Davies is a specialist professional services and technology firm delivering claims, underwriting, and risk solutions to insurers, reinsurers, brokers and regulated businesses globally, with major capabilities in claims management, forensics, and digital transformation.
Industry: Consulting
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Established Company
Valuation: Unicorn (USD 1B+)
Funding: Private Equity Backed
Headquarters: City of London, United Kingdom
Founded: 1968
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Glassdoor: 3.8
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