Responsibilities:

• Plan and conduct independent Compliance Monitoring reviews as assigned from the annual plan, in line with the annual Compliance Monitoring plan. This include the ability to lead and/or participate as part of a team in the delivery of risk-based reviews.
• Review Compliance Monitoring processes to ensure effectiveness and efficiency, making suggestions for improvement where appropriate
• Develop and maintain effective business relationships and partnerships with areas subject to review, to ensure mutual understanding of review scope, procedure and reporting approach.
• Keep abreast of regulatory developments to ensure test scripts reflect the current regulatory requirements

Key Skills & Experience:

• Experience and knowledge in the FCA and PRA rules, i.e. CONC, MCOB
• Understanding of governance and control frameworks
• Good knowledge of regulatory framework in the financial services
• Degree or equivalent professional qualification
• Highly organised and methodical with an ability to see projects through to completion