Compliance Monitoring Officer

Compliance Monitoring Officer

Job Title: Compliance Monitoring Officer
Contract Type: Permanent
Location: Home Based
Salary: £40000 - £45000 per annum, Benefits: Competitive Benefits
Start Date: April 2018
Reference: JM/BWD/12
Contact Name: Joanne McPherson
Contact Email:
Job Published: March 20, 2018 09:48

Job Description

Compliance Monitoring – Home Based with occasional travel (ideally the North) – Competitive Package
Does the thought of being part of one of the largest distributors of financial advice in the UK appeal to you?  Do you want to be part of a forward thinking, ambitious and financially robust business?  Do you want to take ownership, manage stakeholders and add value on a day to day basis?
If so this may be of interest, as a national financial services firm is looking to appoint a Compliance Monitoring Officer to sit within the second line of defence and work in close partnership with the Regulatory Oversight Manager.
Your core duties and responsibilities would be as follows:
·         Compliance monitoring and review activity within agreed monitoring plan, timescales and to the agreed standard identifying risk and regulatory issues
·         Developing and maintaining credible and effective relationships with stakeholders so that Regulatory Conduct Risk and Monitoring is embedded across the business
·         Producing high quality reporting on monitoring activity, assurance finding and investigatory outcomes
·         Undertaking periodic analysis and review of finding in order to identify trends and collating data to identify root causes

You will ideally have the following skills and experience:
·         Demonstrable track record of providing Compliance Monitoring and Investigatory work within a Financial Services setting
·         QCF Level 4 in Financial Planning and CeMap (or equivalent) as a minimum, any progression towards Chartered would be an advantage but is not essential
·         Current and broad knowledge of the advice process, the FCA handbook, regulatory and governance requirements including systems, processes and controls
·         Detailed and logical approach to work with a keen eye for detail and the ability to disseminate and report on complex information
·         Skilled communicator, networker and influencer with the ability to deliver constructive feedback and challenge in a positive and engaging manner
·         Competent with FS back office systems and the Microsoft suite of products e.g. Word & Excel
This a wonderful opportunity to develop a long term and rewarding career within financial services with this forward thinking business.  You will enjoy the flexibility of working from home, a competitive basic salary, a generous benefits package whilst being part of a driven team of people.
Should this opportunity catch your eye please click the ‘Apply’ button, or, alternatively send your CV to

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