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Compliance Monitoring Officer

  • Location:

    Stevenage

  • Sector:

    Risk & Compliance

  • Job type:

    Permanent

  • Salary:

    £35000 - £45000 per annum

  • Contact:

    Alex Daniel

  • Contact email:

    Alex.Daniel@oliverjames.com

  • Job ref:

    JOB-042022-166772_1650537184

  • Published:

    circa un mese fa

  • Expiry date:

    2022-05-21

A leading financial services business offering a really broad compliance monitoring role.

A leading financial services business based in Stevenage are looking for an experienced compliance transaction monitor professional to join their growing team.

The bank are in an exceptional position at present and they are experiencing some exceptional growth across all divisions. As a result they are now looking to grow and develop their compliance function.

As a compliance monitoring officer your duties will be as follows:

  • Input, enact and monitor an annual compliance monitoring plan
  • Assist with the preparation of Management Information for monthly Committee reporting packs
  • Monitor processes and activity in the Bank's 1st line of defence to ensure they are fit for purpose and conform to all relevant regulations
  • Take responsibility for the implementation and management of day-to-day compliance monitoring plans and procedures
  • Act as an integral part of the team regarding knowledge resources for all compliance related matters
  • Oversee compliance monitoring and audit reports and track all action points to completion
  • Monitor the Bank's exposure to regulatory risk, and prepare related reporting for Management and Committees
  • Assist in the preparation of risk assessments
  • Conduct horizon scanning and maintain the horizon scanning log and the monthly regulatory bulletin

Key requirements:

  • Compliance qualification desirable
  • 1+ years' experience in a Compliance role conducting monitoring activities in financial services
  • Strong analytical and communication skills, and the ability to work with staff at all levels.
  • Strong organisational skills, pro-active attitude, and the ability to work on own initiative
  • The ability to describe technical compliance issues in an understandable manner is essential.

This is an outstanding opportunity for a compliance professional to join a growing financial services business and develop their monitoring and generalist compliance skill-set.

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