Compliance Monitoring Analyst

2 weeks ago

Cardiff, United Kingdom Waterhouse-Kern Associates Full time

Waterhouse-Kern Associates are delighted to be working with a leading FS client to find a Compliance Monitoring Analyst.



Apply (by clicking the relevant button) after checking through all the related job information below.

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.

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