Compliance Monitoring Officer

2 weeks ago

London, United Kingdom MERJE Ltd Full time

Compliance Monitoring Officer required for a leading lender to join a compliance team, ensuring the team works to ensure the business’ compliance with current and forthcoming applicable regulatory regimes. The team assesses the adequacy and effectivenessof the business’ Policies and Procedures and provides Departments with advice, support and guidance on regulatory matters in order to help them achieve their objectives and a positive customer outcome.

**Key Responsibilities**
- Complete regular Compliance Monitoring engagements in accordance with the annual Compliance Monitoring Plan
- Partner with other second line colleagues, including Operational Risk to deliver an integrated assurance programme
- Take the lead in carrying out Compliance Monitoring reviews in accordance with the Compliance Monitoring Procedure
- Ensure testing scripts meet the required specification to enable robust testing to be undertaken
- Produce high quality monitoring reports in a timely manner, clearly the identifying issue, root cause and required actions
- Review and critically appraise evidence presented in support of proposed action closure
- Review Compliance Monitoring processes to ensure effectiveness and efficiency, making suggestions for improvement where appropriate
- Assist with the production of Departmental monthly Management Information for discussion at relevant committees
- Assist in updating the Compliance Risk Assessment with the output from Compliance Monitoring reviews
- Undertake ad hoc Compliance work as required, for example assessment and approval of Financial Promotions in line with Policy
- Keep abreast of regulatory developments to ensure test scripts reflect the current regulatory requirements Skills & Experience

**Qualities/Qualifications**
- Highly organised and methodical with an ability to see projects through to completion
- Excellent written and verbal communicator with good interpersonal skills
- Analytical and attention to detail
- Ability to liaise effectively with operational departments and across all levels of management
- Independent self-starter willing to take ownership of issues and drive resolution
- Good knowledge of regulatory framework in the financial services Previous Experience
- Experience in and knowledge of navigating and interpreting the PRA and FCA rules, especially CONC and MCOB
- Understanding of governance and control frameworks
- Degree or equivalent professional qualification

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