Job Title: Compliance Monitoring Officer
Location: Hybrid - Remote/London
Department: Compliance & Risk
Reports To: Head of Compliance & Risk
Rate: Up to £420pd Inside IR35
Contract: Initial 6 months with extension likely
Start Date: End of March/Start of April
Role Overview:
We are seeking a Compliance Monitoring Specialist to deliver our annual risk-based Compliance Monitoring Plan. The successful candidate will coordinate control testing and themed reviews, liaise with IT for exception reports, and provide assurance to Senior Management on compliance with policies and procedures.
Key Responsibilities:
- Deliver the annual risk-based Compliance Monitoring Plan.
- Coordinate control testing and themed reviews to ensure compliance with policies and good client outcomes.
- Liaise with IT to develop exception reports for control testing and monitoring.
- Apply specific knowledge of compliance monitoring related to Best Execution and Market Abuse.
- Provide management information to the Head of Compliance & Risk and other governing bodies.
- Maintain documented and effective compliance monitoring procedures.
- Incorporate Consumer Duty requirements into compliance monitoring to ensure positive consumer outcomes.
- Promote and support diversity and inclusion in line with the FCA's regulatory framework.
Skills and Qualifications:
- Experience in compliance monitoring and testing within the financial services industry.
- Strong understanding of r...