Compliance Monitoring Officer

4 weeks ago

Manchester, United Kingdom AJ Bell Full time

**Job Description**:
Do you want to take the next challenging and rewarding step in your career? An exciting opportunity has arisen to join the AJ Bell Compliance Monitoring team. This will help further your career in a regulatory environment within financial services and provide exposure to all areas of Risk & Compliance.

We are looking for someone with assurance/monitoring experience already who wants to be involved in an award-winning investment platform.

**Purpose of the role**

The main principle of the role is to ensure AJ Bell remains compliant with all FCA rules, guidance & principles, by undertaking monitoring work under a risk-based monitoring plan. This includes deep dive or quick reviews along with regular & routine monitoring to ensure the delivery of good consumer outcomes.

It also supports the Risk & Compliance function by ensuring all Compliance MI is up to date and providing relevant inputs to Compliance reports & includes maintaining essential records and documents as required by the FCA (for example, breach register, gifts register and Personal Account Dealing).

**What does the job involve?**
- Carry out in depth compliance monitoring and regular reviews in accordance with the agreed plan in an effective and rigorous manner and report results to the Head of Compliance Monitoring as appropriate.
- To write reports of findings using the compliance reporting template.
- Support the Head of Compliance Monitoring with the maintenance and delivery of the Compliance Monitoring Plan.
- To represent the compliance function in delivering feedback on monitoring reviews, where appropriate.
- Maintain essential records and documents, as required by the FCA rules.
- To ensure that all relevant management information is provided in a timely manner.
- The monitoring of staff accounts in conjunction with the AJ Bell Personal Account Dealing policy.
- Maintaining the breach and gifts and hospitality registers.

**What we're looking for**:

- Previous experience in a compliance function within an FCA regulated business, either in a Stockbroker, Investment Platform or Investment business would be preferable but other sectors considered.
- Compliance or quality assurance monitoring and testing experience.
- Working knowledge or awareness of The UK regulatory regime and awareness of the FCA Handbook, in particular COBS; SYSC; Financial Crime; CASS; and MAR.
- Compliance monitoring and testing methodologies and understanding the delivery of the good consumer outcome framework.
- Good written and verbal communication skills to communicate findings from monitoring work in a way that is clear and concise and tailored to the relevant audience.
- Meticulous attention to detail in undertaking monitoring.
- Analytical skills; ability to analyse changes in regulatory guidance etc. and assess impact on different aspects of business, including operational processes and procedures, literature etc.
- Good planning, organisation and time management skills, specifically:

- Clear and structured planning of all regular work and ad hoc duties to be completed.
- Prioritising work effectively.
- Recording and filing all relevant information and maintain proper audit trail.
- IT skills; able to use MS Office including Word and Excel.

**About us**:
AJ Bell is one of the fastest-growing investment platform businesses in the UK offering an award-winning range of solutions that caters for everyone, from professional financial advisers, to DIY investors with little to no experience. We have 480,000 customers using our award-winning platform propositions to manage assets totalling more than £75.1 billion. Our customers trust us with their investments, and by continuously striving to make investing easier, we aim to help even more people take control of their financial futures.

Having listed on the Main Market of the London Stock Exchange in December 2018, AJ Bell is now a FTSE 250 company.

Headquartered in Manchester with offices in central London and Bristol, we now have over 1200 employees and have been named one of the UK's 'Best 100 Companies to Work For’ for five consecutive years.

There are opportunities for growth and professional development for employees wanting to progress within their career including induction training and our study support scheme which is part of our benefits package.

There is an active programme of social events throughout the year, which are open to all employees.

In return we will provide all the training and support you need to develop within your role.

**What we offer**:

- Competitive starting salary
- Generous holiday allowance of 25 days, increasing up to 30 days with service, plus bank holidays
- Holiday buy/sell scheme
- Hybrid working policy
- Casual dress code
- Discretionary bi-annual bonus
- Contributory pension scheme
- Buy as you earn share scheme
- Free shares scheme
- Paid study support for qualifications
- Enhanced maternity/paternity scheme from day one
- Bike loan
- Seaso

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