Our client is a well-regarded organisation with a long history of providing an exceptional level of services to its customers. An exciting opportunity has arisen to join the business in the role of Senior Compliance Monitoring Officer, where you will design and deliver regulatory risk and compliance assurance testing reviews in line with the Compliance Monitoring Plan.
Key Responsibilities:
• Provide independent 2nd Line of Defence assurance regarding compliance and conduct risk to board and senior management functions.
• Design and deliver the compliance monitoring reviews to assess how the business delivers fair customer outcomes and meets regulatory requirements.
• Complete timely reports that show the conclusions of the assurance activity, with clear recommendations to mitigate any regulatory and conduct risk.
• Maintain accurate records in relation to open findings and actions, tracking and reporting the progress and raising any issues.
• Work with other assurance functions to develop efficient oversight activities across the three lines of defence to detect compliance failures and breaches.
The Ideal Candidate:
• Substantial experience within a compliance monitoring officer role within an FCA regulated environment.
• Previous experience of independently designing and delivering assurance reviews in line with a defined methodology.
• Extensive knowledge and experience of the FCA Handbook relevant to the business in addition to previous experience of responding to the FCA’s request for information in relation to market studies, FCA deep dives or S166 investigations.
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.
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