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Compliance Monitoring Officer

4 months ago

London, UK, United Kingdom Eximius Finance Full time

Key responsibilities include but are not limited to:

  • Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan
  • Identify any gaps or weaknesses in the Plan and propose remedial actions.
  • Day to day management of the Plan ensuring tests are completed on time and that progress is made against the overall plan.
  • Assist with scoping, implementing and managing second line testing to ensure alignment with regulatory requirements and business process.
  • Report and discuss all findings with appropriate management obtaining their responses to the findings made and following up to ensure remediation.
  • Document the findings, recommended actions and management responses together with agreed timescales and action owners.

Candidates should have the following experience:

  • 2 – 3 years compliance monitoring experience within financial services.
  • Broad understanding of the FCA rules and regulations.