Compliance Monitoring and Testing Officer

The Compliance Monitoring Officer will be responsible for conducting compliance monitoring reviews, ensuring thorough evidence gathering, and producing high-quality reports. The role involves supporting the development and tracking of the Compliance Monitoring Plan.

Client Details

SME Bank based in the city

Description

* Conduct comprehensive compliance monitoring reviews, including thematic and desk-based periodic reviews, ensuring thorough evidence gathering and record-keeping.
* Communicate findings effectively, both verbally and in writing, and track remedial actions while guiding management on necessary improvements.
* Support the development and tracking of the annual Compliance Monitoring Plan and conduct compliance risk assessments.
* Assist in drafting, coordinating, and maintaining the Compliance Monitoring Manual, and provide senior management with relevant information on the plan's progress.
* Collaborate with other compliance functions to standardise policies and procedures, and deputise for the Head of Compliance Monitoring when necessary.

Profile

* experience in compliance monitoring, internal audit, or a compliance function, preferably in asset or wealth management.
* Strong understanding of FCA rules and guidance, including Consumer Duty, MiFiD regulations, UCITS fund products, regulatory frameworks, SMCR, and Market Abuse Regulations.
* Proven task and project management skills, with the ability to prioritize and manage multiple projects simultaneously.

Job Offer

Day rate - £300/£400

6 Month rolling contract