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Compliance Monitoring Officer

City of London, London

Compliance Monitoring Officer

  1. Permanent
£50,000 - £60,000 per annum
BBBH177953

City of London, London

The details

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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
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