Compliance Monitoring Analyst required for a successful and growing financial services (flex working possible) to assist the Compliance Assurance Manager in undertaking second line of defence activities, providing assurance to the business adhering to legislative, regulatory requirements and provide appropriate assistance. Within this role you will be responsible for undertaking Compliance Monitoring Reviews (CMRs) and quality assurance checks across the regulated mortgage businesses.
Key responsibilities include:
Carrying out monitoring tasks as detailed in the annual Compliance Monitoring Plan to the prescribed schedule, format and quality.
Liaising with other business areas over scheduled Compliance Monitoring Reviews.
Carrying out second line quality assurance reviews and communicating any non-compliance, risk or concerns to the Compliance Assurance Manager.
Assisting in the resolution of compliance and/or quality assurance problems to completion with the relevant business area.
Maintaining a strong audit trail of observations made, conclusions reached and management responses.
Producing clear, intelligible Compliance Monitoring Review reports
Contributing to the provision of feedback on Compliance Monitoring Reviews and quality assurance checks to other areas of the business.
A good understanding of MCOB, CONC, data protection and money laundering regulations, and of associated regulatory expectations.