Compliance Monitoring Officer

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  • Salary:

    c. £32,000 + Benefits

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  • Published:

    12 months ago

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