FCA Compliance Monitoring Officer

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  • Salary:

    £35,000 - £40,000

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  • Published:

    almost 2 years ago

The Compliance Monitoring Officer will be responsible for undertaking Compliance Monitoring reviews, while assisting in the development and maintenance of the Compliance Monitoring Plan. Reporting to the Head of Compliance, the role will support the wider responsibilities of the Risk & Compliance team and will be expected to work closely with all areas of the business, promoting a positive compliance culture.
• Undertake Compliance monitoring and policy testing review in accordance with the Compliance Monitoring Plan
• Agree actions with management and present findings in a clear and concise manner
• Assist and make recommendation to the Head of Compliance with the development of a risk based Compliance Monitoring Plan
• Produce accurate and timely reports in respect of Compliance assurance activity
• Be an advocate for increasing compliance awareness and work with the head of Compliance to continually increase awareness across the business
• Support the wider Risk & Compliance Team with the objective of having integrated Risk & Regulatory Affairs
Knowledge and qualifications:
• At least 3 years’ experience in financial services, consumer credit would be a preference from within a Compliance and/or Risk team (essential)
• Knowledge of FCA Regulations, in particular SYSC and CONC (essential)
• Compliance monitoring experience (essential)
• Educated to degree level (desirable)
• Compliance Qualifications e.g. ICA or equivalent (desirable)
• Please note this is not a KYC position 
• Comfortable working in a fast paced and innovative environment both with a degree of collaboration and autonomy
• Excellent written and verbal communication skills
• Good time management
• Excellent presentation skills
• Confident communicator with an ability to influence at all levels
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.