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Our client is seeking a diligent and proactive Compliance Monitoring Officer to join their team in London. This role offers an exciting opportunity to assist the Compliance Monitoring team with the execution of the Branch's compliance monitoring plan, promoting the Compliance department within the Branch and maintaining the compliance framework. The successful candidate will be instrumental in ensuring that all necessary regulatory requirements and obligations are met in a timely manner and to the required standard.
- Opportunity to work in a dynamic compliance team
- Chance to contribute towards maintaining a robust compliance framework
- Role based in the heart of London
What you'll do:
As a Compliance Monitoring Officer, your role will be pivotal in assisting the Compliance Monitoring team with various tasks. You will be responsible for executing tasks aligned with the Branch's compliance monitoring plan, contributing towards keeping the departmental Compliance monitoring procedure current, and assisting with administrative tasks. Your role will also involve supporting business units on regulatory matters, escalating issues when necessary, and investigating breaches of internal policy. This role requires a proactive approach, a commitment to continuous learning, and a desire to contribute towards maintaining a professional compliance function within the Branch.
- Execute compliance monitoring tasks assigned in line with Branch's compliance monitoring plan and framework.
- Contribute to ensuring that the departmental Compliance monitoring procedure is up-to-date and reviewed in detail at least annually.
- Assist with departments Compliance administrative tasks such as meeting minutes, maintenance of records.
- Assist with the new joiners and leaver process.
- Administer branch-wide training material, including gathering data on completion of mandatory training events.
- Support business units on regulatory matters and escalate items to senior members of the Compliance team as required.
- Investigate and report upon breaches of internal policy as required by the Line Manager and / or Head of Compliance.
What you bring:
The ideal candidate for this Compliance Monitoring Officer position brings a wealth of experience from previous roles within banking compliance. With at least three years' experience under your belt, you have developed a solid understanding of Regulatory requirements (FCA) and have honed your skills in Microsoft Office. Your accuracy and diligence set you apart from others, as does your proactive approach to work. You are not one to wait for things to happen; instead, you take initiative and make things happen.
- Minimum of 3 years relevant Compliance experience in Banking.
- Reasonable understanding of Regulatory requirements (FCA).
- Accuracy and diligence in all tasks undertaken.
- Proactive approach to work rather than reactive.
- Skilled in Microsoft office to at least an intermediate level.
What sets this company apart:
Our client is renowned for its commitment to excellence and its strong focus on employee development. They offer an inclusive working environment where everyone's contribution is valued. They believe in nurturing talent from within, providing ample opportunities for career progression. Their commitment to maintaining a robust compliance framework makes them a trusted name in the industry.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
