Internal - Compliance Monitoring Officer

2 weeks ago

Manchester, United Kingdom AJ Bell Full time

**Job Description**:
Do you want to take the next challenging and rewarding step in your AJ Bell career? An exciting opportunity has arisen to join the Compliance Monitoring team where full training will be provided. This will enable you to develop a career in a regulatory environment within financial services and provide exposure to all areas of Risk & Compliance.

You will already appreciate the culture and the desire to deliver good consumer outcomes, and this will continue within the compliance function. We are looking for someone with a desire to make a difference and who understands the AJ Bell way.

**Purpose of the role**

The main principle of the role is to ensure AJ Bell remains compliant with all FCA rules, guidance & principles, by undertaking monitoring work under a risk-based monitoring plan. This includes deep dive or quick reviews along with regular & routine monitoring to ensure the delivery of good consumer outcomes.

It also supports the Risk & Compliance function by ensuring all Compliance MI is up to date and providing relevant inputs to Compliance reports & includes maintaining essential records and documents as required by the FCA (for example, breach register, gifts register and Personal Account Dealing).

**What does the job involve?**

The key responsibilities of the role are as follows:

- Carry out in depth compliance monitoring and regular reviews in accordance with the agreed plan in an effective and rigorous manner and report results to the Head of Compliance Monitoring as appropriate.
- To write reports of findings using the compliance reporting template.
- Support the Head of Compliance Monitoring with the maintenance and delivery of the Compliance Monitoring Plan.
- To represent the compliance function in delivering feedback on monitoring reviews, where appropriate.
- Maintain essential records and documents, as required by the FCA rules.
- To ensure that all relevant management information is provided in a timely manner.
- The monitoring of staff accounts in conjunction with the AJ Bell Personal Account Dealing policy.
- Maintaining the breach and gifts and hospitality registers.

**What we're looking for**:

- Good written and verbal communication skills to communicate findings from monitoring work in a way that is clear and concise and tailored to the relevant audience.
- Meticulous attention to detail in undertaking monitoring.
- Analytical skills; ability to analyse changes in regulatory guidance etc. and assess impact on different aspects of business, including operational processes and procedures, literature etc.
- Good planning, organisation and time management skills, specifically:

- Clear and structured planning of all regular work and ad hoc duties to be completed.
- Prioritising work effectively.
- Recording and filing all relevant information and maintain proper audit trail.
- IT skills; able to use MS Office including Word and Excel.

Additional Information

For more information regarding the role, please contact **Phil Hawkins or Elisabeth Borrowdale **in the first instance.

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