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Compliance Monitoring Officer

  • Location: Birmingham
  • Salary: up to £51,000 + Benefits per year
  • Job Type:Permanent

Posted about 2 years ago

  • Sector: Compliance
  • Contact: Paul Sherlock
  • Expiry Date: 22 April 2022
  • Job Ref: PS/18812

Compliance Monitoring Officer

Our client is a successful and growing business that are hiring a Compliance Monitoring Officer to support development of the Compliance Monitoring Framework and ensure ongoing compliance as the business transitions into FCA regulation.

Key Responsibilities:

• Facilitate effective 2nd line of defence for the business in regard to Monitoring and Advice.

• Support the Risk & Compliance Director in the transition into industry-wide FCA regulation.

• Support the maintenance, improvement and implementation of the Compliance Monitoring Framework.

• Identify areas of operational risk or compliance failures within the business and work with Management to rectify issues.

• Provide feedback and reporting on adherence to Policy and Regulatory Standards.

• Provide timely reporting and insight management on the findings of monitoring activity.

The Ideal Candidate:

• You will have experience working in an FCA regulated firm in a compliance monitoring capacity.

• Understanding of the Financial Services marketplace and the roles played by product suppliers and corporate partners.

• Insurance sector experience is preferred but not essential.

• Desirable Bachelor’s degree or equivalent industry recognised qualification in audit.