Compliance Monitoring Consultant

PSD Group
North Yorkshire
02 Aug 2018
01 Sep 2018
RSH / 16452070
Experience Level
Management, Officer
Contract Type

Our Client are a long established and highly reputable Financial Services institution providing retail banking products and mortgage services across the UK. Based in Yorkshire, they are currently looking to appoint a CASS 4 Qualified Compliance Consultant. 

Reporting to Compliance & Risk owners, principle duties include;


  • Contribute to the delivery of the Annual Compliance Monitoring Plan by producing quality reviews within agreed Service Level Agreements (SLAs);
  • Manage and prioritise own workload, and support other Compliance Consultants (CCs), taking into account the team’s SLAs and own Key Business Priorities (KBPs);
  • Demonstrate ability to step up and perform more complex reviews
  • Provide advice and guidance to the Group and its subsidiaries on actions required to achieve regulatory compliance and actionable recommendations.
  • Contribute to the development and maintenance of strong working relationships with key contacts within the Group
  • Reporting to management on compliance assurance recognising issues arising through specific monitoring activity.
  • Responsible for sharing expertise in Compliance within the team by providing support, guidance and training where appropriate.
  • Work closely with Senior Compliance Monitoring Managers to improve processes for Compliance reviews, with great emphasis upon business service levels, productivity, efficiency optimisation, customer service focus and the long-term benefits for the Group and its subsidiaries.
  • Responsible for  keeping up to date with FCA regulations including key aspects of BCOBS, COBS, ICOBS, MCOB sales process, key elements of SYSC/FIT/APER, Training and Competence. 

Person specification;


  • Demonstrate technical knowledge across FCA handbook areas (for example MCOB, BCOBS, COBS & ICOBS). 
  • CASS Diploma Level 4 and ideally CeMaP or the MAQ.  
  • Demonstrate ability to utilise skills and experience to identify potential areas of poor customer outcomes and making appropriate recommendations to drive change and improve outcomes
  • Have experience of working in a Compliance/QA or Audit role; ideally performing monitoring reviews