Senior Compliance Monitoring Officer
Senior Compliance Monitoring Officer required by expanding financial services client based in Surrey.
The successful applicant will work within a team of compliance professionals who are responsible for providing ongoing support to the Compliance Monitoring Manager. You will make a significant contribution to the effectiveness of the Compliance functions throughout the business which is managed through the development and maintenance of robust monitoring, provision of comprehensive support and ongoing analysis of regulatory risk.
- The Compliance Monitoring Consultant will work proactively within the business, developing relationships with stakeholders to promote best practice with the aim of reducing regulatory risks.
- Monitoring and reviewing business activities covered by FCA and PRA rules to ensure that the business and management meet regulatory obligations, communicating the findings effectively to all levels.
- To provide pro-active follow up to issues raised in monitoring reviews to ensure that they are concluded within acceptable timescales.
- To produce monthly reports.
The role holder will also provide development support for the wider compliance function.
Particular areas within this Compliance Monitoring remit include:
- Supporting the evolving cultural environment of the business; identifying and demonstrating the behaviours and actions that encourages the company's values.
- Understanding the risks which may affect the Compliance Monitoring team, the business and customers.
- To delegate responsibility to management for ensuring functional KPI's and management information (MI) are identified and reported to the business, MI and data is reviewed and appropriate action taken at Executive level.
- To understand and respond effectively to the changing needs of customers; reviewing and improving the controls that are in place to ensure both internal and external customers are treated fairly.
My client is passionately proud of their reputation of offering award winning customer service to their expanding client base and we seek someone with equal enthusiasm.
- Previous experience in financial services compliance, with preferably both operational and prudential monitoring experience.
- An enquiring mind and proven ability to learn quickly.
- Excellent interpersonal and organisational skills.
- Possessing an attention to detail with a focused commitment to achieving quality.
- Ability to work on own initiative and as part of a team.
- Ability to communicate appropriately at all levels.
Please apply for more information and to book a confidential career discussion.
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