Compliance Monitoring Analyst

3 weeks ago

Greater Cardiff Area, United Kingdom Waterhouse-Kern Associates Full time

Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months.


Job purpose:

The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance monitoring and interfacing with the business.


What you'll be doing:

  • You will play a supporting role in the day-to-day running of the Compliance Quality Assurance function in the Compliance Monitoring Team.
  • Carrying out required monitoring reviews within scheduled timescales.
  • Producing high quality monitoring reports, suggesting remedial action where required and tracking issues to closure.
  • Producing monthly QA MI for the Head of Compliance to review on an on-going basis.
  • Providing constructive feedback development points to other business functions to drive a positive compliance culture whilst adhering to regulatory and company guidelines.
  • Maintaining detailed knowledge of regulatory requirements from loan or card application stage to account closure focusing on process improvement and monitoring.
  • Keeping up-to-date with industry developments in consumer credit.


What you'll need:


  • A good understanding of the Consumer Credit Act and its application under FCA and be familiar with the FCA Handbook, particularly the Consumer Credit rules (CONC) and Treating Customers Fairly.
  • Financial Services knowledge and experience preferably in a lending environment.
  • Knowledge of MI reporting and skilled in the preparation of excel spreadsheets which will produce charts and data for reporting purposes.
  • You should have experience of carrying out internal monitoring, producing comprehensive reports and advising on remedial action where necessary, tracking issues to closure.
  • Previous experience in a Consumer Credit Compliance environment, with proven experience in a similar compliance role.
  • Ability to drive a positive compliance culture.

  • Compliance Monitoring Analyst

    3 weeks ago

    Greater Cardiff Area, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months. Job purpose: The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance monitoring and...

  • Compliance Monitoring Analyst

    1 week ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months. A variety of soft skills and experience may be required for the following role Please ensure you check the overview below carefully. Job purpose: The main objective of the Compliance Monitoring...

  • Compliance Monitoring Analyst

    1 week ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months. A variety of soft skills and experience may be required for the following role Please ensure you check the overview below carefully. Job purpose: The main objective of the Compliance Monitoring...

  • Compliance Monitoring Analyst

    3 weeks ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months. Job purpose: The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance monitoring and...

  • Compliance Monitoring Analyst

    3 weeks ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months. Job purpose: The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance monitoring and...

  • Compliance Monitoring Analyst

    3 weeks ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months.Job purpose:The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance monitoring and...

  • Compliance Monitoring Analyst

    3 days ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months.Job purpose:The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance monitoring and...

  • Compliance Monitoring Analyst

    2 weeks ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Job Description Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months. Job purpose: The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance...

  • Compliance Monitoring Analyst

    3 weeks ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months.A variety of soft skills and experience may be required for the following role Please ensure you check the overview below carefully.Job purpose:The main objective of the Compliance Monitoring Analyst is...

  • Compliance Monitoring Analyst

    3 weeks ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Job DescriptionWaterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months.Job purpose:The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance...

  • Compliance Monitoring Analyst

    2 weeks ago

    Cardiff, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months.A variety of soft skills and experience may be required for the following role Please ensure you check the overview below carefully.Job purpose:The main objective of the Compliance Monitoring Analyst is...

  • Compliance Monitoring Analyst

    3 days ago

    Cardiff, Cardiff County, United Kingdom Waterhouse-Kern Associates Full time

    Waterhouse-Kern Associatea are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst on a contract basis for 3 to 6 months.Job purpose:The main objective of the Compliance Monitoring Analyst is to support all aspects of ‘second line of defence’ compliance including thematic review work, compliance monitoring and...

  • Senior Compliance Monitoring

    4 weeks ago

    Greater Manchester, United Kingdom AJ FOX COMPLIANCE Full time

    Our client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Spearheading the development and implementation of the...

  • Senior Compliance Monitoring

    4 weeks ago

    Greater Manchester, United Kingdom AJ FOX COMPLIANCE Full time

    Our client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Spearheading the development and implementation of the...

  • Regulatory Compliance Analyst

    4 days ago

    Camden Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:We are working with an international multi asset platform who are searching for a Regulatory Compliance Analyst on a 6 MONTH CONTRACT.THIS ROLE IS NOT AN AML/ KYC VACANCY, CANDIDATES WITH ONLY THIS BACKGROUND AND EXPERIENCE WILL NOT BE CONTACTED.THE RESPONSIBILITIES:Ensuring compliance with FCA regulations, in particular the rules relating to...

  • Regulatory Compliance Analyst

    4 days ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with an international multi asset platform who are searching for a Regulatory Compliance Analyst on a 6 MONTH CONTRACT. THIS ROLE IS NOT AN AML/ KYC VACANCY, CANDIDATES WITH ONLY THIS BACKGROUND AND EXPERIENCE WILL NOT BE CONTACTED. THE RESPONSIBILITIES: Ensuring compliance with FCA regulations, in particular the rules...

  • Regulatory Compliance Analyst

    4 days ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with an international multi asset platform who are searching for a Regulatory Compliance Analyst on a 6 MONTH CONTRACT. THIS ROLE IS NOT AN AML/ KYC VACANCY, CANDIDATES WITH ONLY THIS BACKGROUND AND EXPERIENCE WILL NOT BE CONTACTED.THE RESPONSIBILITIES:Ensuring compliance with FCA regulations, in particular the rules relating to...

  • Regulatory Compliance Analyst

    4 days ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with an international multi asset platform who are searching for a Regulatory Compliance Analyst on a 6 MONTH CONTRACT. THIS ROLE IS NOT AN AML/ KYC VACANCY, CANDIDATES WITH ONLY THIS BACKGROUND AND EXPERIENCE WILL NOT BE CONTACTED.THE RESPONSIBILITIES:Ensuring compliance with FCA regulations, in particular the rules relating to...

  • Monitoring Analyst

    4 days ago

    London Area, United Kingdom Career Legal Full time

    4 MONTH TEMPORARY OPPORTUNITYLEGAL AND COMPLIANCE MANAGEMENT PRODUCT COMPANYUP TO £40,000 (as hourly rate)LONDON OFFICEMONITORING ANALYSTMy client, a market leading legal and compliance management product company, is actively seeking an experienced Legal Assistant to join them on a temporary basis - working as their new Monitoring Analyst. The role involves...

  • Monitoring Analyst

    4 days ago

    London Area, United Kingdom Career Legal Full time

    4 MONTH TEMPORARY OPPORTUNITY LEGAL AND COMPLIANCE MANAGEMENT PRODUCT COMPANY UP TO £40,000 (as hourly rate) LONDON OFFICE MONITORING ANALYST My client, a market leading legal and compliance management product company, is actively seeking an experienced Legal Assistant to join them on a temporary basis - working as their new Monitoring Analyst. The role...