Compliance Monitoring Analyst

4 days ago


Birmingham, West Midlands, United Kingdom Birchlake Recruitment Full time


Purpose:

  • Monitor compliance to assess business and TPAs adherence to regulatory standards and requirements.
  • Work with established processes within the business & clientele, to manage risk and consumer duty requirements.
  • Liase internally to review & improve processes.

Duties & Responsibilities:

  • Work with the Compliance Monitoring Manager to develop, maintain & deliver the second line monitoring plan. (CMP)
  • Implement and manage second line reviews, in line with regulatory and conduct risk topics outlined in the CMP.
  • Run compliance monitoring on all FCA regulated activities within the business and TPAs.
  • Produce individual reports and the quarterly CMP report.
  • Liase with Head of Risk & Compliance (HoRC) to periodically review the CMP.
  • Full job description is available upon request.

Conduct Requirements

  • You must act with integrity.
  • You must act with due care, skill and diligence.
  • You must be open and cooperative with the FCA and other regulators.
  • You must pay due regard to the interests of customers and treat them fairly.
  • You must observe proper standards of market conduct.


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