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Job Specification


£ 36000 - £ 36000 | NW London/Herts
Ref: 3444R2

UK & Ireland / Compliance (inc Conduct Risk/COBS) / 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   

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge. 

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