1. Compliance Monitoring Officer
2. Financial services
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:
3. Carrying out regular reviews and assessments of the company policies, procedures and operations, to ensure compliance with FCA regulations and industry standards
4. Developing and implementing the compliance monitoring programs and processes to identify and mitigate potential compliance risks
5. Monitor changes in regulatory requirements and industry trends to ensure that the company's compliance policies remind up-to-date
6. Collaborating with internal departments including legal, risk management and operations, to address compliance issues and implement remedial actions as necessary
7. Prepare comprehensive reports detailing the results of compliance monitoring activities and recommendations for improvement
8. Assist in the development and delivery of compliance training programs for employees to raise awareness of regulatory requirements and promote a culture of compliance
9. Respond to inquiries and requests from regulatory authorities and external auditors regarding the compliance procedures
10. 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:
11. Significant experience working in a compliance role within financial services
12. Strong knowledge of FCA regulations, including but not limited to AML/KYC requirements, and data protection laws
13. Excellent analytical skills with the ability to interpret complex regulatory requirements and assess their impact on business operations
14. Ability to work independently and collaboratively in a fast-paced environment with tight deadlines
15. Excellent communication skills with the ability to effectively communicate complex compliance issues to stakeholders at all levels of the organisation
16. Detailed oriented with a high degree of accuracy in reviewing documentation and conducting compliance assessments
17. Qualifications such as ICA Certificate in compliance is preferred
What's on Offer
As Compliance Monitoring Officer, you will get:
18. Attractive salary
19. 25 days holiday
20. Company pension scheme
21. Working from home 2 days a week
22. Social events
23. Healthcare
24. Plus many more!