Compliance Monitoring Officer

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  • Salary:

    £30,000 - £35,000 pa

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  • Published:

    over 1 year ago

Our client is a Financial Services organisation who are looking to recruit a Compliance Monitoring Officer to help with second Line of Defence assurance reviews as per the Compliance monitoring plan. This will include providing guidance and subject matter expertise to the group in relation to Second Line assurance, supporting key business change and development programmes. 

Main Accountabilities:

  • Leading operationally independent second line risk based oversight reviews (with minimal supervision): prepare Terms of Reference, conduct monitoring reviews, deliver findings, write and present reports and ensuring that any required remedial activity is effectively implemented to mitigate identified risks.
  • Liaising with and maintaining an effective relationship with internal and external stakeholders.
  • Engaging pro-actively with internal and external stakeholders about the outcome of the compliance oversight activity in order to influence a timely, effective and proportionate response.
  • Contributing to the delivery of timely and effective reporting to committees and forums in relation to oversight activities and any other associated projects.
  • Attending events, seminars, training, regulatory workshops, etc. as deemed necessary.

Knowledge & Expertise


CeMAP (or equivalent mortgage qualification) is essential.

Compliance monitoring experience and control testing (such as Thematic Reviews and Deep-dive reviews); In-depth knowledge of the regulatory framework governing the mortgage and insurance market with a focus on PRIN, SYSC, SUP, TC, MCOBS, ICOBS.

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.