Compliance Monitoring Officer

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Transact
  • 11 Dec 17 2017-12-11

An opportunity has arisen for a Compliance Monitoring Officer to join the Compliance team on a permanent basis. The main purpose of this role is to work with the other members of the team to deliver high quality Compliance Monitoring Programmes. The role will also involve working with owners of relevant policies and procedures to address and correct significant shortcomings which are identified through Compliance Monitoring promptly and effectively.

Main Responsibilities:

  • Providing input into the annual Compliance Monitoring Programme to help identity key areas for review
  • Executing and reporting against the Compliance Monitoring Plan and retaining appropriate records
  • Presenting findings and reports including suggestions for relevant remedial actions, in a clear, accurate and consistent manner
  • Assisting in the preparation of Compliance Reports to the Board, Committees, Forums and other stakeholders
  • Personally designing, scoping and delivering Thematic Reviews
  • Identifying trends and root causes in all breaches and shortcomings; being proactive and collaborative with line management to make relevant changes to policies, procedures and working practices
  • Providing relevant, accurate and timely MI in a format which is clear and engaging, in particular by helping to compile the monthly Compliance Monitoring report

Who we're looking for

We are looking for someone who has previous Compliance monitoring or Audit experience and is able to demonstrate strong investigative skills. You should ideally have a good level knowledge, understanding and application of the UK regulatory environment as it relates to the Financial Services industry. Advanced MS Excel skills are required for this position.

The successful candidate will have an excellent attention to detail and be well organised and able to work to tight deadlines. They will also have the ability to work independently and as part of a team.