Senior Compliance Monitoring Executive

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Job Title

Senior Compliance Monitoring Executive

Job Description

Role Overview & Purpose

Well known financial services business are looking to hire a Senior Compliance Monitoring Executive to join the Compliance Monitoring team with the role holder playing a key role in the delivery of the compliance monitoring plan.

The business offer a flexible hybrid working policy with the requirement for 1 day per week in the firms head office located in South Wales.

Role responsibilities.

Conducting monitoring reviews of regulatory subjects, internal departments and processes to ensure regulations are being met and excellent customer service is being delivered.

Completing ad-hoc reviews as requested by the Monitoring Manager and Head of Compliance.

Preparing detailed and professional reporting on issues found and obtaining agreement from interested parties on actions and timeframes.

Building knowledge of the business to be able to contribute to ongoing reviews and the annual Monitoring Plan.  

Support the Monitoring team and Monitoring Manager where appropriate

Own and deliver monitoring reviews of regulatory subjects, internal departments and processes, including interaction with all levels of staff

Raise key findings in a prompt and timely manner.

Ensure actions are closed in a timely manner with suitable evidence provided, and any delays are minimised and highlighted at the earliest opportunity.

Represent Compliance in relevant meetings.

Personal Attributes & Experience

2nd line compliance monitoring experience gained within an FCA regulated environment

Understanding the mechanics of how a compliance monitoring plan is constructed and delivered

Knowledge of customer outcomes and consumer duty

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

If you would like this job advertisement in an alternative format, please contact MERJE directly.

Reference

12155

Applicants must be located and eligible to work in the UK without sponsorship. Please note, should feedback not be received within 28 days, unfortunately your application has been unsuccessful. In applying for this role, you may be registered on our database so we can contact you about suitable opportunities in future. Your data will be managed in accordance with our Privacy Policy, which can be found on our website. If you would like this job advertisement in an alternative format, please contact MERJE directly.