Our client is a leading financial services’ business who are currently recruiting for a Compliance Monitoring Officer. The role will be responsible for ensuring that business activities are meeting industry and regulatory compliance standards.

Key Responsibilities:

• Delivery of activities forming part of the Compliance Monitoring & Risk Assurance Plan in accordance with the team procedures and methodologies.
• To support maintenance of the team procedures and methodologies (and to adopt best practice, efficiencies and economies of scale where appropriate).
• To engage with Key Stakeholders to ensure that relevant regulatory and legislative risks to the business are identified, communicated and addressed during monitoring.
• Interpret and apply relevant regulatory and legislative guidance to the business areas and provide pragmatic alternative solutions and support to the business where standards are deemed to be non-compliant.
• To present findings and reports including suggestions for relevant remedial actions, in a clear, accurate and consistent manner.
• To maintain appropriate and sufficient records to support and evidence the approach and outcomes of each monitoring and risk assurance activity.
• To maintain and develop relationships with key business customers whilst retaining the independent status required of a monitoring and assurance function.
• To escalate risks and issues to the Risk & Compliance Manager and / or Divisional Risk & Compliance Director as appropriate.

Key Requirements-        

• Good experience in a risk assurance, compliance monitoring, operational risk or internal audit environment
• Knowledge of financial services and relevant financial services’ regulation including
• Knowledge of business continuity, information security and financial crime would be beneficial.