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Compliance Monitoring Officer

  • Location

    East Midlands

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    c. £30,000 - £35,000 + Benefits

  • Consultant:

    #

  • Email:

    psherlock@merje.com

  • Job ref:

    PS/14777

  • Published:

    5 months ago

The Client: Our client is a leading financial services business who are well respected in their market. An exciting opportunity has arisen to join the firms Compliance function. The role of Compliance Monitoring Officer will be responsible for ensuring that all required business reviews are carried out in line with the compliance plan, ensuring that a risk based model is followed to assess business adherence to regulatory and legal requirements.

This Client does not provide sponsorship.

The role-

Key Requirements:       

  • Help in the delivery of risk based monitoring and oversight reviews of the business and first line activities ensuring adherence to regulatory and legal requirements.
  • Carry out conduct risk reporting, providing appropriate challenge to the business and ensuring delivery of dashboard summary to the Senior Compliance Officer and Head of Compliance & Risk
  • Providing support to the business on financial promotions, through review, advice and guidance and final sign off
  • When needed carry out check the checker activities and make sure that any appropriate feedback is being communicated to the business
  • Working with the Senior Compliance Officer to ensure that all necessary Compliance policies are implemented and embedded across the business properly.
  • Providing the Quality Assurance function with support, advice and guidance with application of the criteria and assessment of appeals
  • Other ad hoc duties as requested by the Head of Compliance & Risk to ensure the smooth running of the compliance function.