Compliance Monitoring Analyst
4 days ago
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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