Search Jobs

Job Specification


£32K - £36K + Benefits + Bonus | Kent or NW London
Ref: 3444R

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Anti Money Laundering (inc CDD/KYC) / Permanent

Our client, a leading financial services firm, is seeking to recruit a Compliance Monitoring Officer. The role holder will need to undertake some travel from time to time to undertake monitoring duties. Responsibilities will include:
• Planning, execution and reporting against the Compliance Assurance Plan, retaining appropriate records and providing concise, and timely, written and verbal reports highlighting key issues and recommendations for improvement action.
• Agreeing and recording operational management responses to recommendations, tracking progress and conducting proportionate validation on an appropriate basis.
• Assisting in relation to its support of investigations into Compliance related incidents/breaches and the provision of compliance advice on identifying appropriate remedial actions.
• Undertake regular desk-based monitoring of management information to ascertain emerging compliance related risks and providing feedback and advice to the business on areas identified as requiring improvement.
• Assist in the preparation of Compliance Reports including the Board, Audit Committee and Operational Committees of the client
• Contribute the development of policies, procedures and standards.
The ideal candidate will have at least one years’ experience in Compliance including COBS Compliance and monitoring from a Mortgage or Secured Lending environment or else two years monitoring if from a Life and Pensions background but willing to learn new areas .NB no industry qualifications necessary.
For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at  

Hot Jobs