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Job Title: Compliance Monitoring Officer Location: Solihull - Hybrid 2 days office Hours: Full Time - 12 Month Fixed Term Contract A bit about us: We are part of a global bank and are proud to be a Top Employer UK, providing a great place to work in an open and inclusive environment. We are here to provide simple consumer finance solutions and we work with many well-known retailers and brands to help their customers responsibly finance their purchases. We care about making a positive impact for our colleagues, customers, partners, and the wider community. That's why we live by our values of we're positive, we're brave and we own it. The Role: The Compliance Monitoring Officer will be responsible for providing compliance assurance to the business to ensure the business fulfils its regulatory responsibilities. Within the team, you will ensure all relevant legislation/codes are in line with the UK's compliance monitoring framework; with particular reference to FCA regulated activities, FLA, Ofcom and PCI DSS guidelines; and all applicable legal requirements specified by UK and EU legislation such as CCD, Consumer Credit Legislation, Data Protection, Anti-Money Laundering, and Bribery Acts. Key Responsibilities: Provide accurate and timely compliance assurance activities as well as supporting UK staff and management by performing the following activities: Deploying UK's Compliance Monitoring Plan through the periodic review and evaluation, on a risk based approach of compliance controls across all UK entities Providing assurance that compliance related controls have been effectively designed and operated as intended. Identifying gaps in UK's compliance monitoring framework and control mechanisms and agreeing on management action plans with operational and functional management to reduce or mitigate compliance risk Performing, within agreed SLAs, the validation of the completed compliance related action plan Providing accurate and timely regulatory and compliance advice to management as and when required Any material discrepancies, losses, breaches of and control failures or weaknesses in respect of compliance activities are reported to the Compliance Monitoring Manager. Liaise and communicate with all stakeholders to ensure a consistent and effective risk based approach, compliant with professional standards, is deployed across all UK entities. Stakeholders include: UK's Comex and Senior Management team Compliance Control & Risk Management team based in France (Central) UK's Legal & Regulatory Policy team UK's key third parties Conduct and produce high quality compliance engagements, work papers, reports and management information in line with agreed metrics and business requirements. Attend appropriate training courses, as necessary and as agreed with the Compliance Director and keep up to date with regulatory and statutory changes. Skills & Attributes: Must have practical experience in an audit/monitoring compliance role within a financial services environment Project management, presentation, and reporting writing skills Excellent attention to detail and communication Ability to prepare and present to senior management Must be a self-starter and have the ability to work on your own initiative Could this be you? We believe it's a positive attitude and passion to make things happen that matters most. What's in it for you? As well as working for a Top Employer UK 2024 and being part of a team that changes customers' lives, there are some excellent benefits too including - a competitive salary, a contributory pension scheme, plus life insurance and private medical insurance, not to mention the all-important 25 days holiday each year to enjoy. There are also perks which give you fantastic discounts off eating out, cinema tickets, days out and much more. There are also monthly awards with plenty of opportunities to win vouchers and prizes. Equal Opportunities Disclaimer We promote equality of opportunity and is committed to ensure that no individual is discriminated against on the grounds of age, disability, gender reassignment, marriage or civil partnership status, pregnancy and maternity, race, religion or belief, sex or sexual orientation.
Robert Half is working with a rapidly growing fintech company who are recruiting for a Compliance Monitoring Associate role, that is based in City of London. Company This Compliance Monitoring Associate role is for a thriving company that are looking for a permanent candidate to join the company, gain autonomy of the role, and be a meaningful part of the team. The hybrid working structure is 4 days a week working from their office in City, and 1 day working from home. Role The Compliance Monitoring Associate for this exciting company will be reporting into the Senior Compliance Manager and working closely with the Head of Compliance. They will be responsible for a variety of duties including: Undertaking regular compliance monitoring in accordance to the annual Compliance Monitoring Plan Management of the Compliance Monitoring Plan ensuring tests are completed and progress is made Documenting, reporting, and discussing findings with relevant management Ensuring alignment with regulatory requirements through second line testing Implementing compliance actions discussed with management Ad hoc support to the compliance team Profile The Compliance Monitoring Associate for this business should have the following profile: 2 years of experience in a Compliance Monitoring role Experience in Financial Services & understanding of FCA regulations Strong report writing skills Excellent communication skills Salary & Benefits £50,000 - £65,000 DOE 26 days holiday 8 bank holidays Pension Discretionary bonus Private healthcare Wellbeing allowance The salary range/rates of pay is dependent upon your experience, qualifications or training Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. Rates of pay and salary ranges are dependent upon your experience, qualifications and training. If you wish to apply, please read our Privacy Notice describing how we may process, disclose and store your personal data: gb/en/privacy-notice Security alert: scammers are currently targeting jobseekers. Robert Half do not ask candidates for a fee or request candidates to send applications through instant messaging services such as WhatsApp or Telegram. Learn how to protect yourself by visiting our website: gb/en/how-spot-recruitment-scams-and-protect-yourself
My client is based in Manchester and they are looking for a Compliance Monitoring Officer to join their team. The business operates a hybrid working model and is paying a salary c£40k to £45k. The main purpose of the role is to provide a file review service to the clients of the business. The file reviews will mainly be for medium to large IFA firms. Duties Deliver a client file review service in line with Service Level Agreements Respond to client queries in a timely, clear and concise manner, setting customer expectations in respect of timescales anticipated, and recording information in line with business standards Provide oral feedback to clients in respect of client file reviews as required To report to the Head of Compliance any specific issues or concerns regarding any client firms which might realistically affect their ability to trade, or affect their, or threesixty's, ability to fulfil its commercial and contractual obligations to one another. Maintain a CPD record in line with FCA requirements for regulated individuals Generate reports and summaries of thematic reviews/file assessments as requested by the Head of Compliance Undertaking specific projects - e.g. review of SMCR arrangements, T&C scheme, Investment proposition, relationships with third parties etc. and providing written feedback and guidance Suitable candidate will have: A QCF Level 4 Diploma qualification Experience in a compliance/technical area of a support service, network or IFA business. Detailed knowledge of regulatory framework required to carry out client file review Experience of providing feedback to IFAs in relation to client file quality or T&C issues Good communication skills verbal and written formats - for internal and external clients Attention to detail is a must What they offer in return: Hybrid working A competitive salary 27 days holiday (plus bank holidays) 8% employer pension contribution, plus the ability to elect to make a personal contribution via salary sacrifice AVIVA Private Health Care Death in Service benefit (4 times annual salary) Income Protection Insurance Free parking A friendly, supportive and accommodating working environment For more information please contact me on or email: Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy. Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.