Compliance Monitoring Officer
Location
England | United Kingdom
Job description
About Our Client
This firm specialises in providing a wide range of financial products and services to their clients, ensuring their financial well-being and security. The company is committed to maintaining the highest standards of regulatory compliance and ethical conduct in all operations.
Job Description
As Compliance Monitoring Officer, you will play a key role in ensuring that the firm adheres to all regulations, laws and other industry standards. Your key responsibilities will be:
- Carrying out regular reviews and assessments of the company policies, procedures and operations, to ensure compliance with FCA regulations and industry standards
- Developing and implementing the compliance monitoring programs and processes to identify and mitigate potential compliance risks
- Monitor changes in regulatory requirements and industry trends to ensure that the company's compliance policies remind up-to-date
- Collaborating with internal departments including legal, risk management and operations, to address compliance issues and implement remedial actions as necessary
- Prepare comprehensive reports detailing the results of compliance monitoring activities and recommendations for improvement
- Assist in the development and delivery of compliance training programs for employees to raise awareness of regulatory requirements and promote a culture of compliance
- Respond to inquiries and requests from regulatory authorities and external auditors regarding the compliance procedures
- Participating in internal audits and compliance reviews to assess the effectiveness of controls and identify areas for improvement
The Successful Applicant
To be successful in this role, you must have:
- Significant experience working in a compliance role within financial services
- Strong knowledge of FCA regulations, including but not limited to AML/KYC requirements, and data protection laws
- Excellent analytical skills with the ability to interpret complex regulatory requirements and assess their impact on business operations
- Ability to work independently and collaboratively in a fast-paced environment with tight deadlines
- Excellent communication skills with the ability to effectively communicate complex compliance issues to stakeholders at all levels of the organisation
- Detailed oriented with a high degree of accuracy in reviewing documentation and conducting compliance assessments
- Qualifications such as ICA Certificate in compliance is preferred
What's on Offer
As Compliance Monitoring Officer, you will get:
- Attractive salary
- 25 days holiday
- Company pension scheme
- Working from home 1-2 days a week
- Social events
- Healthcare
- Plus many more!
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Job tags
Salary
