Compliance Monitoring Officer (Finance)

  • Location

    City of London, London

  • Sector:


  • Job type:


  • Salary:

    Up to £46000 per annum + Additional Benefits

  • Contact:

    Karen Ellis

  • Contact email:

  • Job ref:

    KAEL117108 _1579001766

  • Published:

    11 months ago

  • Expiry date:


  • Start date:


Our client an investment business has an opportunity for a talented individual to join their compliance team, this role will be reporting into the Head of compliance.

You will be responsible for undertaking, managing, and recording Compliance Monitoring reviews, while assisting in the development and maintenance of the Compliance Monitoring Plan. Working closely with the Investment Compliance Officers, the role will support the wider responsibilities of the Compliance team and will be expected to work closely with all areas of the regulated investment business, promoting a positive compliance culture throughout.

The position

  • Further develop the Compliance Monitoring framework and methodology, including the processes and procedures to manage the monitoring requirements, and the development and use of specific computerised applications as appropriate.
  • Plan and conduct Compliance Monitoring reviews and policy testing in accordance with the Compliance Monitoring Plan to provide assurance over key control effectiveness, Conduct Risk awareness, and adherence to company policies, procedures, and relevant FCA regulations.
  • Ensure business knowledge, processes and controls are accurately and proportionately assessed against regulatory and internal compliance standards.
  • Assist and make recommendations to the Head of Compliance with the ongoing development, maintenance and delivery of a risk-based Compliance Monitoring Plan and regulatory procedures.
  • Produce accurate and timely reports in respect of Compliance assurance activity.

The Person

  • Previous experience in financial services, ideally in Compliance or Risk (essential)
  • Working knowledge of FCA Regulations, in particular SYSC, COLL, FUND (essential)
  • Compliance monitoring experience (essential)
  • Educated to degree level (desirable)
  • Compliance Qualifications e.g. CISI Diploma or equivalent (desirable)

This is a great opportunity to work for an award winning investment business, who are currently experiencing impressive growth.

In return you will receive a competitive salary, a benefits package which includes flexible working patterns (subject to conditions), generous pensions scheme which offers 12% employer contributions and you will work in an environment of continuous personal and professional development.

To apply please send your most recent CV to Karen Ellis Today.

Please be advised all applicants must have the right to work in the UK. Due to expected number of applicants, only successful applicants will be contacted.