Compliance Monitoring Officer

James Flood
London (Central), London (Greater)
£35,000 - £40,000
12 Feb 2018
28 Feb 2018
Experience Level
Contract Type
Full time, Permanent

Job Description:

The Compliance Monitoring Officer will be responsible for undertaking Compliance Monitoring reviews, while assisting in the development and maintenance of the Compliance Monitoring Plan.  Reporting to the Head of Compliance, the role will support the wider responsibilities of the Risk & Compliance team and will be expected to work closely with all areas of the business, promoting a positive compliance culture.

The Client:

International consumer credit business with strong market reputation.

The role:

  • Undertake Compliance monitoring and policy testing review in accordance with the Compliance monitoring Plan
  • Agree actions with management and present findings in a clear and concise manner
  • Assist and make recommendation to the Head of Compliance with the development of a risk based Compliance Monitoring Plan
  • Produce accurate and timely reports in respect of Compliance assurance activity
  • Be an advocate for increasing compliance awareness and work with the head of Compliance to continually increase awareness across the business
  • Support the wider Risk & Compliance Team with the objective of having integrated Risk & Regulatory Affairs
  • Monitoring - Complete policy monitoring and other compliance review activity as directed by the Head of Compliance and in accordance with the Compliance Monitoring Plan
  • Reporting - Provide accurate and timely reporting on monitoring activity and the status of management actions role
  • Planning - Assist the Head of Compliance in the planning of future Compliance Monitoring activity
  • Awareness - Assist in the promotion of good levels of education and awareness across all parts of the business

Essential Skills:


•             Educated to degree level (Desirable)

•             Compliance Qualifications e.g. ICA or equivalent (desirable)


  • At least 2 years’ experience in financial services (essential)
  • Experience in consumer credit space (desirable)
  • Previously worked in Compliance and/or Risk teams (desirable)
  • Working knowledge of FCA Regulations, in particular SYSC and CONC (desirable)
  • Compliance monitoring (desirable)
  • Comfortable working in a fast paced and innovative environment both with a degree of collaboration and autonomy (essential)
  • Time management (essential)
  • Ability to influence at all levels (desirable)
  • Microsoft Word, Excel, PowerPoint (essential)

This Client does not provide sponsorship.

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