Senior Compliance Monitoring Officer

A Senior Compliance Monitoring Officer is required by a highly respected Private Bank to help ensure the Bank its meeting its regulatory requirements in relation to compliance assurance by executing compliance monitoring reviews and annual risk assessments.

Reporting into the Head of Compliance your main responsibilities will include

• Executing the Compliance Monitoring Plan
• Undertaking annual risk assessments
• Extracting insightful MI supportive of the bank’s obligation of identifying regulatory risk and weaker spots in the control environment
• Acting as a subject matter expert on risk mitigation and manage the management actions in a timely, sound and pragmatic way
• Assisting the head of Compliance with breach management including providing expertise in remedial activity if required
• Participating in the maintenance of the Bank’s Central Risk Register
• Promoting a culture of compliance across the Bank
• Managing, creating and updating Compliance policies and procedures as required

To be considered for this excellent opportunity you will have demonstrable experience as a senior member of a Compliance Monitoring or Assurance team with strong experience of independently conducting risk assessments and assurance reviews. You will understand breach management including the follow up of management actions. You will also need an excellent working knowledge of FCA handbooks and ideally also PRA rulebooks, whilst experience of banking and/or payments regulation would be advantageous, as would an understanding of the regulation of a UK High Net Worth customer base. Superior communication and stakeholder management skills are a prerequisite for the role.


Salary:To £80k + benefits


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