Compliance Monitoring Officers

3 Compliance Monitoring Officers are required by a leading provider of wealth management and employee benefits to join their team in Leicester.

Your main responsibilities will include:

  • Supporting and advising the group on regulatory matters (FCA CONC, SYSC, PRIN, DISP, COBS)
  • Advising the group and your workmates on the practical application of regulatory rules, guidance and principles
  • Investigating and reporting on the regulatory impact and compliance risks and recommending solutions
  • Second line monitoring/reviews of policies, processes and products
  • Reviewing policies, systems, processes and effectiveness of our systems and controls
  • Being the compliance lead on group projects : ensuring compliance whilst identifying opportunities of improvement
  • Providing training and building compliance competency and understanding throughout the group
  • Maintaining a suite of compliance policies, procedures and documents to a high standard
  • Becoming a subject matter expert in key compliance areas such as GDPR, AML, MiFID II, IDD and product governance
  • Being a compliance champion – driving a strong culture of compliance & regulatory principles such as Treating Customers Fairly

You will have previous experience within a financial services compliance role and current working knowledge of financial services regulations. Any previous experience of wealth management, asset management, employee benefits or data protection / GDPR compliance would be advantageous but is not essential. Excellent communication, analytical and organisational skills are essential.


Salary:£20000 - £35000 Per Annum + excellent benefits


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