Compliance Monitoring Officer

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  • Salary:

    £30,000 - £40,000

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  • Published:

    almost 3 years ago

Well known, respectable and award winning financial services firm are looking to hire a Compliance Monitoring Consultant to join their headquarters located in North Yorkshire.  The opening represents an excellent opportunity for someone looking to continue their career within compliance, and build on the qualifications and experience already gained.

Main Responsibilities:

  • Contribute to the delivery of the Annual Compliance Monitoring Plan by producing quality reviews
  • The provision of advice and guidance on actions required to achieve compliance with prevailing regulatory requirements and Codes of Practice as part of recommendations in Monitoring reports;
  • Contribute to the development and maintenance of strong working relationships with key contacts
  • Reporting to management on levels of compliance assurance or issues arising through specific monitoring activity;
  • Work closely with the Compliance Monitoring Manager/ Senior Compliance Monitoring Manager to continually improve processes and systems for Compliance reviews
  • Responsible for own personal development including keeping up to date in respect to all relevant sections of the FCA Handbook including the key aspects of BCOBS, COBS, ICOBS, MCOB including sales process, key elements of SYSC/FIT/APER, Training and Competence. 

Candidate Requirements:

  • Previous experience within a 2nd line monitoring position
  • Strong knowledge of the financial services sector
  • FCA handbook knowledge
  • Level 4 Diploma qualified essential or at least working towards
  • Knowledge of Investment and / or pensions products


The position comes with an excellent basic salary plus a generous range of benefits.  Flexibility around working hours is also an option.