Compliance Monitoring Officer – Banking / Cards / Consumer Credit

  • Location


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  • Job type:


  • Salary:

    £45,000 - £55,000

  • Consultant:

    Kirstie Burn

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  • Published:

    3 months ago

Reporting to the Head of Compliance Monitoring, working closely with the business and senior managers, this role will arrange for compliance monitoring reviews to be undertaken on all aspects of the Bank’s business. Focusing on understanding all regulatory requirements to mitigate regulatory risks.


  • Work closely and act as a key contact for the business on compliance monitoring reviews, to deliver a positive compliance culture
  • Define and agree the reviews scope, impacts, timelines, and risks delivering an agreed terms of reference by working collaboratively with the business
  • Design, build and deliver a test plan for each review, maintaining a full audit trail
  • Draft key findings into a succinct and informative report to discuss and agree with key stakeholders
  • Lead meetings with the review sponsor / key stakeholders to agree actions arising and risk based timelines
  • Conduct all reviews in line with the Compliance Monitoring framework, policies and procedures
  • Support the Head of Compliance Monitoring with the risk based planning activity, to ensure that material regulatory risks facing the business are identified and consider in the building of the annual plan
  • Proactively review actions and work with the business areas to ensure actions are completed on time, to the standards required
  • Ensuring you are up to date with a strong understanding of EU and UK regulatory matters, including forthcoming regulatory changes and their potential impact on the bank

Key Competencies:

  • Strong technical background of FCA regulatory knowledge – Retail FS
  • Compliance Monitoring experience
  • Strong communication skills, both orally and in writing across all levels of management
  • Ability to build successful relationships with a number of senior stakeholders
  • Good team working skills