A leading financial services business headquartered in Cheshire, is recruiting for a Compliance Monitoring Officer to join on a permanent basis.
Client Details
This firm specialises in providing a wide range of financial products and services to their clients, ensuring their financial well-being and security. The company is committed to maintaining the highest standards of regulatory compliance and ethical conduct in all operations.
Description
As Compliance Monitoring Officer, you will play a key role in ensuring that the firm adheres to all regulations, laws and other industry standards. Your key responsibilities will be:
*Carrying out regular reviews and assessments of the company policies, procedures and operations, to ensure compliance with FCA regulations and industry standards
*Developing and implementing the compliance monitoring programs and processes to identify and mitigate potential compliance risks
*Monitor changes in regulatory requirements and industry trends to ensure that the company’s compliance policies remind up-to-date
*Collaborating with internal departments including legal, risk management and operations, to address compliance issues and implement remedial actions as necessary
*Prepare comprehensive reports detailing the results of compliance monitoring activities and recommendations for improvement
*Assist in the development and delivery of compliance training programs for employees to raise awareness of regulatory requirements and promote a culture of compliance
*Respond to inquiries and requests from regulatory authorities and external auditors regarding the compliance procedures
*Participating in internal audits and compliance reviews to assess the effectiveness of controls and identify areas for improvement
Profile
To be successful in this role, you must have:
*Significant experience working in a compliance role within financial services
*Strong knowledge of FCA regulations, including but not limited to AML/KYC requirements, and data protection laws
*Excellent analytical skills with the ability to interpret complex regulatory requirements and assess their impact on business operations
*Ability to work independently and collaboratively in a fast-paced environment with tight deadlines
*Excellent communication skills with the ability to effectively communicate complex compliance issues to stakeholders at all levels of the organisation
*Detailed oriented with a high degree of accuracy in reviewing documentation and conducting compliance assessments
*Qualifications such as ICA Certificate in compliance is preferred
Job Offer
As Compliance Monitoring Officer, you will get:
*Salary £40,000 plus a company bonus scheme
*25 days holiday
*Company pension scheme
*Work from home 3 days a week once probation completed
*Social events
*On site parking
*Healthcare
*Plus many more!