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Compliance Monitoring

3 months ago

Kent, United Kingdom Barclay Simpson Full time

My client is a retail banking institution with an office in Kent. If you are tired of making the journey into London and you have the right compliance monitoring experience, this could be the opportunity for you.


If you work in compliance monitoring or regulatory internal audit and looking to make the move to a second line role, please apply.


In this role, you will be responsible for conducting risk-based assurance activities in line with the Group Annual Compliance Monitoring Plan. You will focus on the planning, execution, and reporting of thematic reviews and customer journey assessments to ensure compliance with regulatory requirements and evaluate the design and effectiveness of key regulatory systems and controls, all while ensuring positive customer outcomes.


Key Responsibilities:

  • Complete Compliance Assurance reviews across the Group promptly to ensure adherence to internal policies, procedures, and legal regulations. This includes Customer Journey assessments and Thematic Reviews.
  • Detect and evaluate the consequences of Compliance and Conduct breaches, effectively communicating the implications to various stakeholders. Collaborate to determine and implement necessary actions to rectify issues identified in the reviews.
  • Generate clear, timely, and precise reports, both written and verbal, that highlight issues and propose recommendations for improvements or corrective actions. Report any potential compliance breaches or conduct issues and ensure they are resolved efficiently and thoroughly.
  • Conduct focused reviews on customer outcomes across all product lines, using your expertise to evaluate customer experiences and recommend enhancements.

Your Experience:

  • Demonstrated experience in conducting compliance or conduct thematic reviews/audits within a compliance function.
  • Strong comprehension and interpretation of FCA regulations and other critical regulatory domains.
  • Extensive knowledge of current FCA regulatory expectations regarding conduct risk, Consumer Duty, and customer outcomes, as well as the latest industry guidance.
  • Understanding of the MCOB, BCOBS, SYSC, PRIN, and COCON handbooks.


Salary on offer for this role is up to £60,000 on the base.

Hybrid working with 3 days in the office.


Contact me ne@barclaysimpson.com with your CV for more information.