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.