Compliance Monitoring Officer (12 Month FTC)

Manchester, Greater Manchester
£20,000 - £25,000 + Excellent Benefits
12 Sep 2018
12 Oct 2018
Job Sector
Experience Level

The role is responsible for ensuing that the business is compliant for the purposes of its regulated activity in financial services.

The Client- Our client is a leading financial services’ business

This Client does not provide sponsorship.

The role-

  • Supporting the delivery of the compliance strategy.
  • Monitoring and reporting on the effectiveness of internal systems and controls to regulatory rules and guidance.
  • Assisting the Compliance Manager with the management and implementation of the Annual Compliance Monitoring Plan.
  • Engaging with functional areas within the business and relevant third parties to conduct each Compliance Monitoring review.
  • Testing and reporting on the effectiveness of policies and procedures, together with the associated systems and controls within the area under review.
  • Carrying out call listening and other checks to review and report on the effectiveness of the First Line Quality Monitoring function.
  • Reviewing and considering other sources of data (e.g. complaints, cancellations) to identify any potential failings and /or recurring themes.
  • Carrying out other ad hoc investigations and business support activities as required.
  • Capturing and recording Incidents and Breaches as appropriate – escalating significant issues to the Compliance Manager.
  • Preparing regular compliance reports for the Compliance Manager and assist in preparing on-going reports to the relevant Governance Forums.

Key Requirements-

  • Experience of working in a regulated firm and sound knowledge of the UK regulatory framework, including FCA rules and guidance in relation to Consumer Credit.
  • Awareness and understanding of current and new regulatory requirements affecting the business.
  • Ability to review business practices against regulatory expectations.

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