Our client is a leading financial services’ business who are currently recruiting for a Compliance Monitoring Officer. The role will be responsible for supporting the delivery of the annual Thematic Compliance Monitoring Plan through the completion of high quality reviews.
- Undertaking Compliance Monitoring reviews in accordance with the TCMP to assess, adherence internally and externally (suppliers), to applicable regulations and internal policies.
- Ensuring findings are appropriately communicated to the key stakeholders throughout the review, including discussion of the proposed remedial actions during the close out meetings.
- Producing high quality reports, to support the review findings and determine any remedial action.
- Ensuring agreed actions are implemented in a timely manner with prompt escalation of issues to Compliance management where necessary.
- Building and maintaining relationships with key stakeholders and business areas to help facilitate colleague engagement in Compliance activity.
- Proactively keeping up-to-date with relevant regulatory changes and also internal requirements including; policies, process and procedures.
- Manage and monitor internal policies ensuring that content accurately reflects relevant activity and applicable regulations. In addition, contact and chase policy owners for completion of the annual policy reviews.
- Actively raise awareness of Compliance within the business, by positively promoting the function, endorsing the business principles and helping embed Conduct Risk.
- Supporting the delivery of ad-hoc Compliance activities as required by the Compliance management team.
- Compliance and/or quality monitoring experience in which reporting writing was a primary activity essential
- Experience in a similar Compliance role
- Strong understanding of current regulations such as FCA, CONC, SYSC, PRIN, DISP and Data Protection
- Clear understanding of TCF and Conduct Risk
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