Compliance Monitoring Specialist

3 weeks ago


Surrey, United Kingdom MERJE Ltd Full time

Working for this successful and established brand in the market, the purpose of this role is to support the delivery of a formal programme of Monitoring by leading on allocated reviews and providing independent assessment of systems and controls.

**Key responsibilities**:

- To deliver allocated areas of risk-based compliance monitoring, covering FCA & PRA rules or other relevant regulations and operational processes.
- To develop and maintain effective stakeholder relationships with business/specialist areas to influence change, provide constructive challenge and education by providing guidance and advice on the regulatory control framework.
- To play a proactive part in growing the capabilities and influence of the Monitoring function by embracing new practices and Monitoring approaches.
- Planning testing and completion of monitoring reviews on time by drafting findings and any recommendations in a high-quality written report, focussing on material risks and ensuring ownership in the business.
- Provide regular follow-up of outstanding actions to ensure timely progress and robust resolution and escalating to senior management where necessary.
- Follow a schedule of regular stakeholder engagement activities/meetings, ensuring Monitoring work and Compliance function in general continues to have visibility.
- Demonstrate proactiveness and curiosity in promoting and developing new approaches to Monitoring work such as use of Analytics.
- Own and lead on ad hoc activities as assigned by the Head of Compliance Monitoring, e.g. ad hoc special investigations or committee reporting

**Skills and Experience**
- Relevant compliance or operational experience in financial services essential
- Sound administrative / planning skills
- Effective oral and written communication skills
- Influencing skills and tenacity
- Curiosity, objectivity and strong analytical skills
- Ability to work on own initiative.
- Solution orientated
- Teamwork
- Good regulatory knowledge



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