Compliance Monitoring Officer

1024 561 Kind Consultancy

Website Kind Consultancy

Successful Retail Financial Services Business

Kind Consultancy has been retained by a well-established Retail Financial Services business that is currently seeking a Compliance Monitoring Officer. The role has flexible working but does require some travel to attend meetings at the organisation’s head office in the East Midlands when required.

Working with a small Compliance team, the Compliance Monitoring Officer will test the business’s processes and procedures to ensure they adhere to FCA and other regulatory requirements, with key responsibilities including:

  • Designing and carrying out monitoring in line with the Compliance Monitoring Plan
  • Creating audit reports and recommendations, and tracking those recommendations and actions through to completion
  • Completing reports and updates ahead of each Audit & Compliance Committee
  • Attending the relevant Management committee meetings to present review findings
  • Participating in the design of the Annual Integrated Assurance Plan presented to Audit & Compliance Committee
  • Assisting with drafting policies and procedures
  • Conducting deep dives as required by the Integrated Assurance Plan, or by the Chief Risk Officer
  • Supporting the Compliance Team manage financial crime risk, by providing second line advisory support and oversight

Our ideal candidate for the Compliance Monitoring Officer:

  • Must have very strong MCOB knowledge
  • Has substantial previous Compliance Monitoring experience
  • Has in-depth FCA regulatory knowledge
  • Is an excellent communicator, with strong report writing skills
  • Holding a Compliance qualification would be highly desirable
  • Has well-developed planning and organisational skills

If you’re interested in the Compliance Monitoring Officer opportunity and you have the skills, knowledge and experience we’re looking for, please apply with an updated CV today.

If your application is successful, we aim to contact you to discuss the opportunity in more detail within 2 working days. Due to the overwhelming number of responses we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

Upload your CV/resume or any other relevant file. Max. file size: 64 MB.

  • 0