Compliance Monitoring Officer
2 weeks ago
Merje Careers is seeking a skilled Compliance Monitoring Officer to provide critical support in the financial planning and wealth management industry.
As a key member of the team, you will be responsible for the second line of defence compliance monitoring, ensuring the effectiveness of controls in place and identifying areas for improvement.
Key Responsibilities:
- Undertake risk-based second line monitoring to assess the effectiveness of compliance controls.
- Assist the Head of Regulatory Compliance & Risk in the delivery of the annual routine compliance monitoring plan.
- Support the Head of Regulatory Compliance & Risk in reprioritising the plan based on emerging risks.
- Design and conduct thematic reviews as required.
- Undertake routine, discovery and thematic reviews, producing draft reports for approval.
- Investigate breaches of company procedures and FCA rules.
- Stay up-to-date with Consumer Duty training and regulations.
About the Role:
As a Compliance Monitoring Officer, you will have the opportunity to work in a dynamic and supportive environment, contributing to the success of our clients and the team.
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