Compliance Monitoring Officer

7 days ago

Letchworth Garden City, United Kingdom Buckden Partners Limited Full time

My established business challenger bank client is recruiting for an experienced Compliance Monitoring Offcier to join their compliance team.

**Overview**

The main purpose of the role is to assess the implementation and adequacy of all company policies, processes and activities and ensure that they are aligned with regulatory requirements and industry best practice.

The role will involve supporting the Compliance Manager and the Head of Compliance to facilitate and coordinate the compliance monitoring plan for the Bank. This will include assisting with the enhancement, adaptation and amendment of the compliance monitoringplan, undertaking compliance monitoring activities, ad-hoc and thematic reviews, 2nd line oversight sampling, scheduled annual compliance reviews and tracking all suggested actions to satisfactory and timely completion.

**Responsibilities**
- Input, enact and monitor an annual compliance monitoring plan
- Assist with the preparation of Management Information for monthly Committee reporting packs
- Monitor processes and activity in the Bank’s 1st line of defence to ensure they are fit for purpose and conform to all relevant regulations
- Take responsibility for the implementation and management of day-to-day compliance monitoring plans and procedures
- Act as an integral part of the team regarding knowledge resources for all compliance related matters
- Oversee compliance monitoring and audit reports and track all action points to completion
- Monitor the Bank’s exposure to regulatory risk, and prepare related reporting for Management and Committees
- Assist in the preparation of risk assessments
- Conduct horizon scanning and maintain the horizon scanning log and the monthly regulatory bulletin
- Produce papers summarising regulatory change and disseminate accordingly
- Produce and deliver training on key topics as and when required
- Build positive and effective relationships with key stakeholders within business units, developing their understanding of risk and compliance matters and influencing decisions, to ensure compliant behaviour

**What you will Bring**
- Compliance qualification desirable
- 3 years’ experience in a Compliance role conducting monitoring activities in financial services
- Strong analytical and communication skills, and the ability to work with staff at all levels.
- Strong organisational skills, pro-active attitude, and the ability to work on own initiative
- The ability to describe technical compliance issues in an understandable manner is essential.
- Good presentation skills
- Resilient nature

**Other**

Hybrid working is available, with 2 days a week required in the office

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