Compliance Monitoring Officer

28000.00 - 32000.00 GBP Annual + GBP28000 - GBP32000/annum
16 Mar 2017
24 Mar 2017
Contract Type
Full Time
Compliance Monitoring Officer

Location - Southampton

Salary - GBP28k - GBP32k+benefits

Compliance Monitoring Officer is required for a well-established Bank based in the Southampton office. Supporting the Regulatory Risk Manager you will conduct the first line of compliance monitoring and general compliance activities ensuring the Bank have suitable controls in place to maintain their regulatory obligations. The ideal candidate will have experience working in compliance within a regulated financial services organisation.


* Conduct appropriate internal and Outsourced Partner monitoring reviews and provide individual feedback.
* Prepare divisional compliance management information, identifying trends and escalating issues to the Regulatory Risk Manager.
* Assist with regular reviews to maintain Policy & Procedure manuals.
* Keep abreast of and circulate matters of regulatory interest and legislative developments that will have an effect on the division.
* Record and escalate breaches, compliance events and Lapses in Control to the Regulatory Risk Manager.
* Keep up-to-date with the changing regulatory environment and internal processes to implement into policy and processes.

Skills and Experience

* Previous monitoring and feedback activities in a regulated environment.
* Ability to recognise trends and evaluate management information.
* Ability to work to deadlines.
* Policy and report writing.
* Good communication skills with the ability to work professionally with other stakeholders.
* Understanding of Dispute Resolution.
* Understanding of Treating Customers Fairly and how this is applied.
* Understanding and awareness of applicable Financial Conduct Authority regulation and laws relating to a regulated consumer lending environment.
* Computer proficiency in Microsoft Word, Excel, PowerPoint.

This Bank provide a collaborative working environment with training and career progression opportunities so if you have the skills and experience above please pass on an up to date CV for immediate consideration