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Compliance Monitoring Officer

Posted 6 February by EGRecruiting Ltd Easy Apply Featured Ended

Our Client is looking for an experienced Risk Professional to join their Regulatory and Conduct Risk team, as a Compliance Monitoring Officer. This is a home-based role with the candidate ideally being located in the North East or Yorkshire area. You will assist the Regulatory Oversight Manager with the effective provision of second line compliance monitoring activity, across the Group and work towards delivering the agree compliance monitoring plan.


Effectively lead and/or assist compliance monitoring / review activity, within agreed timescales and to required standard, including identifying risk and regulatory issues

  • Assist with influencing the business so that review findings are accepted and acted upon
  • Developing and maintaining effective relationships with key stakeholders using relationships to promote the Regulatory and Conduct Risk function and ensuring stakeholder buy-in of activity and of outputs
  • Produce high quality reporting of compliance monitoring activity / assurance findings
  • Undertaking the periodic analysis and review of findings to determine compliance risk trends and root causes
  • Maintaining an up to date knowledge of the businesses outcomes and objectives
  • Monitoring and keeping abreast of compliance risk and regulatory developments relating to the businesses
  • Providing support to Risk and Compliance function colleagues as required


  • Hold QCF Level 4 or Relevant mortgage qualification

Candidate Requirements

  • Demontrate experienced in delivering assurance, audit, or compliance monitoring based activities
  • Experience working in Financial Services, ideally with a Wealth Management, Funds Management or Insurance Company
  • Broad knowledge of Compliance/Regulatory/Legislative, Risk and Governance requirements and resulting processes
  • Working knowledge of wealth products and industry practice
  • Experience in delivering high quality reporting
  • Good analytical, planning and organisational skills
  • Good attention to detail
  • Anticipates customer/business needs and identifies solutions
  • A strong team player, who works collaboratively
  • Applies sound judgement and flexes approach and style as situations demand in order to achieve results
  • Builds and maintains a strong and sustainable network across the business and with other key stakeholders
  • Results focused and looks for opportunities to deliver continuous improvement
  • Proactively seeks opportunities to share knowledge and experience in order to enhance the capabilities within the functions and across the business
  • Possesses credibility, professionalism and strong personal integrity
  • Creative problem solving skills including diplomacy, negotiation and conflict resolution

Benefits include 35 hour working week, bonus, pension, DIS, PHI, flexi-bens, 25 days holiday.

Reference: 34409535

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