Compliance Monitoring Officer

  • Location


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  • Job type:


  • Salary:

    to £45,000 + benefits

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  • Published:

    about 1 year ago

My client is a well-known consumer finance organisation who are looking to recruit a Compliance Monitoring Officer to join at an exciting time as they continue to grow and diversify

This is a brand new role to join a small team where you will have a real opportunity to demonstrate your compliance monitoring skills and help shape the regulatory environment and culture within this progressive business.

You will work closely with the Head of Compliance to deliver the compliance monitoring testing outputs in the annual compliance risk monitoring plan and will act as a subject matter expert to the business on all monitoring related queries.

Key responsibilities include:

  • Carry out relevant reviews to deliver the compliance monitoring and testing outputs
  • Conduct routine outcomes testing of high-risk activities and associated first line controls
  • Carry out ad-hoc investigations as required, completing root cause analysis to identify any possible systemic issues.
  • Work with other team members on projects to advise on post implementation monitoring requirements
  • Ensure adequate records are maintained for all monitoring carried out the business and that actions are followed through and tested.
  • Maintain action tracking log and work with key stakeholders to bring actions to conclusion.
  • Ensure that all external audits are retained and that appropriate management response and actions are taken in a timely manner
  • Work with the Head of Compliance to produce a risk based annual compliance plan
  • Train other team members to undertake monitoring activities as and when required

The Person:

  • You will have compliance monitoring experience gained within a similar financial service regulated environment.
  • An understanding of the UK regulatory regime and rules applicable to the Consumer Finance sector (CONC),
  • Knowledge of the FCA requirements and regulatory framework
  • Experience of setting up and delivering 2nd line Compliance Monitoring frameworks
  • Excellent interpersonal and communication skills
  • Strong literacy and numeracy skills, excellent planning and organising skills.  

Salary is commensurate with experience and will be commensurate with the role. You will receive a competitive salary and benefits package, free onsite parking and great incentives

Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.