Senior Regulatory Affairs Specialist
3 weeks ago
Advertising Template
Senior Compliance Monitoring Executive
Well known financial services business are looking to hire a Senior Compliance Monitoring Executive to join the Compliance Monitoring team with the role holder playing a key role in the delivery of the compliance monitoring plan.
The business offer a flexible hybrid working policy with the requirement for 1 day per week in the firms head office located in South Wales.
Conducting monitoring reviews of regulatory subjects, internal departments and processes to ensure regulations are being met and excellent customer service is being delivered.
Completing ad-hoc reviews as requested by the Monitoring Manager and Head of Compliance.
Building knowledge of the business to be able to contribute to ongoing reviews and the annual Monitoring Plan.
Support the Monitoring team and Monitoring Manager where appropriate
Own and deliver monitoring reviews of regulatory subjects, internal departments and processes, including interaction with all levels of staff
Represent Compliance in relevant meetings.
2nd line compliance monitoring experience gained within an FCA regulated environment
Understanding the mechanics of how a compliance monitoring plan is constructed and delivered
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