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Compliance Monitoring

  • London
  • £50,000 - £65,000
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Job Title: Compliance Monitoring Officer

Location: London Hybrid 2 days in the office

Job Type: Full-time

About Us: My client is a leading retail banking organisation committed to providing exceptional financial services to our customers. We strive to uphold the highest standards of compliance and integrity in all aspects of our operations.

Job Description: As a Compliance Monitoring Officer at you will play a pivotal role in ensuring adherence to regulatory requirements and internal policies. Your responsibilities will include:

  • Offering subject matter expertise on the interpretation and application of local and Group compliance policies and standards.
  • Supporting with the review and approval of new and existing client relationships.
  • Assisting with performing 2nd Line Testing on 1st Line of Defence functions.
  • Preparing and delivering relevant training to employees.
  • Preparing memos for governance approval or review.
  • Reviewing escalations and triaging them appropriately.
  • Receiving and preparing data required to fulfil MI requests.
  • Assisting with testing compliance-owned systems and methodologies.
  • Maintaining all business-as-usual compliance registers.
  • Tracking emerging risk and regulatory publications.
  • Maintaining up-to-date knowledge of regulatory requirements.
  • Preparing responses to enquiries from law enforcement and regulatory authorities.
  • Reviewing escalated screening and enforcement alerts.
  • Identifying data quality issues.
  • Reviewing marketing communications.
  • Supporting the compliance team with other ad hoc tasks and projects as they arise.

Qualifications and Skills:

  • A bachelor’s degree in business, finance, or law (preferred).
  • A minimum of five years’ experience in a risk or compliance role within a financial services organization, ideally banking or lending.
  • Relevant industry qualifications with respect to regulatory compliance, financial crime, and/or risk (desirable).
  • Strong verbal and written communication skills in English.
  • Strong knowledge of applicable UK legislation and regulations, particularly FCA rules.

Salary is up to £65,000 on the base.

Please contact me for more information

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We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.

Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.

Nick Evans – Compliance

Senior Consultant

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