Compliance Monitoring Officer

4 weeks ago


Market Harborough, United Kingdom North Oak Recruitment Ltd Full time

**Compliance Monitoring**Officer - Leicestershire (hybrid)

**Part time - 3 days per week (Our Ref AL1213)**

**Salary up to £40,000 pa (full time equiv) + benefits**

My client is an award-winning IFA with coverage across the UK. They are now looking for an experienced Compliance Monitoring Officer, ideally Diploma level 4 qualified, working from their Leicestershire based offices with occasional visits to other officesas required. This is a part-time role (three days a week), with hybrid working available.

**Skills / Personal Attributes**
- Ability to influence others
- Attention to detail
- Self-motivation
- Self-management

**Job Purpose**:

- To monitor and report on the compliance and risk framework within the business
- Compliance policies and procedures preparation and review
- Monitoring and reporting on the implementation of the firm’s training and competency scheme.
- To review financial promotions and finalise prior to sign off.
- To review complaints and breaches and finalise prior to sign off
- To be responsible for preparing FCA regulatory reporting for sign off
- Assist with the preparation of board reporting and MI.
- Work with the Group Compliance Director and other stakeholders to ensure compliance with the FCA rules and instil a positive compliance culture in line with the firm’s core values and that reflects the Consumer Duty.

**Responsibilities**:

- Horizon scanning for regulatory developments
- Ensure the firm continues to meet its threshold conditions (COND)
- Assist in the production of compliance reporting to senior management
- Undertake a separate money-laundering audit periodically for senior management
- Assist with the management of the Firm’s relationship with the Regulator
- Ensure that the firm can respond on a timely basis to requests for information from the Regulator.
- Work with the GCD and external compliance support to ensure the firm complies with the Compliance and Training and Competence policies of the firm

**Specific areas of responsibility**
- SMCR and Training and Competence
- Compliance Monitoring
- Systems and Controls
- Anti-Money Laundering Reporting Function

**Knowledge Required**
- Detailed knowledge of anti-money laundering and financial crime legislation, rules and guidance



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