We are assisting our clients with a fantastic opportunity to join a growing team that are driven and passionate about managing and minimise its exposure to conduct and regulatory risk.

As a Compliance Monitoring Consultant, you'll be responsible for assessing and reporting on conduct and regulatory risks identified when carrying out the compliance monitoring. You'll advise on any necessary improvements that should be actioned in relevant business areas to raise the overall standards of compliance.

Key Responsibilities:

Preparing and following written test plans, this will involve understanding the regulatory rules and expectations that apply to different areas of the business.

Executing all tasks set out in the written test plans, within the agreed timeframes This will involve using monitoring and testing tools, carrying out on-site visits to areas of the business, reviewing MI.

Preparing draft and final reports in the agreed format, within the prescribed deadlines.  When doing so, determine the cause of failure, define, and recommend appropriate course of action.

Communicating findings verbally to stakeholders during de-briefing sessions, ensuring risk owners understand any issues identified.

Tracking and monitoring agreed actions arising from compliance monitoring reviews and supporting the provision of periodic status reports

Maintaining involvement with all aspects of the team's work to ensure that effective support is provided to other team members to prioritise workload and share best practise.

Key Skills and Experience:

Ability to demonstrate clear and transparent business report writing skills, as reports can be shared with the FCA.

Good knowledge and understanding of regulatory framework of UK financial services industry trends and best practice.

Experience of working in Policy & Advisory/Monitoring/Remediation/Assurance across different aspects of financial services

Able to apply judgement from a regulatory perspective to internal and market information.

Good analytical, influencing and communication skills.

Ability to analyse and evaluate and sound judgement in determining appropriate actions/solutions

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.

If you would like this job advertisement in an alternative format, please contact MERJE directly.