The role of the Compliance Monitoring Officer is to assist the Compliance Manager in the successful delivery of the firm’s internal compliance and oversight program.

Key responsibilities include: 

 

• Conduct routine compliance monitoring reviews in with line with the Compliance Monitoring Plan

• Conduct both field based and desktop reviews of retail partners

• Assess the compliance arrangements of retail partners on an ongoing basis by reviewing websites, policies, processes & marketing materials and providing feedback with recommendations

• Produce regular reports and MI for key stakeholders

• Play a key role in the identification, mitigation and ongoing management of risk

• Provide guidance on regulatory matters to the business and its retail partners

• Support retail partners and lenders in the timely resolution of complaints

 

The Person: 

 

• Working knowledge of FCA regulations, in particular CONC, DISP and SM&CR

• Experience of working in a compliance role, such as compliance monitoring, auditing or quality assurance

• Experience of working in consumer credit or financial services