About Our Client
This firm specializes 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 a 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
* Monitoring changes in regulatory requirements and industry trends to ensure that the company's compliance policies remain up-to-date
* Collaborating with internal departments including legal, risk management, and operations to address compliance issues and implement remedial actions as necessary
* Preparing comprehensive reports detailing the results of compliance monitoring activities and recommendations for improvement
* Assisting in the development and delivery of compliance training programs for employees to raise awareness of regulatory requirements and promote a culture of compliance
* Responding 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 organization
* Detailed oriented with a high degree of accuracy in reviewing documentation and conducting compliance assessments
* Qualifications such as ICA Certificate in compliance are preferred
What's on Offer
As a Compliance Monitoring Officer, you will get:
* Attractive salary
* 25 days holiday
* Company pension scheme
* Working from home 2 days a week
* Social events
* Healthcare
* Plus many more!
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