Compliance Monitoring Consultant

Skipton, North Yorkshire
£30,000 - £40,000 pa
05 Dec 2018
04 Jan 2019
Experience Level
Executive, Management, Officer
Contract Type
Full time, Permanent

The Compliance Monitoring team are responsible for providing assurance to the senior leadership team, including the Board, that the Group are adhering to FCA regulatory requirements, particularly the fair treatment of customers.  In this role you will be responsible for, alongside other members of the Compliance Monitoring team, performing thematic and customer outcome testing monitoring reviews in line with the Annual Compliance Monitoring Plan.


  • 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, taking into account the team’s SLAs and own Key Business Priorities (KBPs);
  • The provision of advice and guidance on actions required to achieve compliance with prevailing regulatory requirements and Codes of Practice as part of recommendations in Monitoring reports;
  • Reporting to management on levels of compliance assurance or issues arising through specific monitoring activity;
  • Work closely with the Compliance Monitoring Manager/ Senior Compliance Monitoring Manager to continually improve processes and systems for Compliance reviews, with an emphasis upon business service levels, productivity, efficiency optimisation, customer service focus and the long-term benefits
  • Responsible for own personal development including keeping up to date in respect to all relevant sections of the FCA Handbook including the key aspects of BCOBS, COBS, ICOBS, MCOB including sales process, key elements of SYSC/FIT/APER, Training and Competence. 

Experience Required

  • The ideal candidate will have a passion and focus on making sure that the right outcomes are achieved for our customers. A willingness to learn and develop within the role is essential.
  • You will have the ability to develop great working relationships and influence colleagues across the business.
  • You will also have a strong eye for detail and organisational skills to deliver high quality reviews within the allocated timeframe and the ability to manage your own workload.
  • Experience across relevant product and service areas, with technical knowledge across FCA handbook areas is desirable.
  • 2nd line compliance monitoring experience, ideally gained within an investment and pensions product environment.
  • Level 4 Diploma in Financial Planning (or equivalent qualifications) are essential

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