Compliance Monitoring Officer
Core
Undertake end-to-end risk-based compliance monitoring reviews, regulatory research, testing, investigations, and data analysis to ensure adherence to FCA requirements and manage regulatory risks.
Role type
Compliance Monitoring Officer (IC)
Builds
Compliance monitoring plans, thematic review reports, management information, and action trackers for regulatory adherence.
Domain
Financial Services / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory research, testing and investigations, data analysis, report writing, stakeholder management, risk assessment, control effectiveness evaluation, Microsoft Excel proficiency
Preferred skills
Financial services regulation or compliance qualification, FCA Handbook interpretation experience
Responsibilities
Develop and maintain the annual risk-based Compliance Monitoring Plan; conduct testing and investigations to assess system effectiveness; produce reports detailing findings and recommended actions; monitor Appointed Representatives for regulatory adherence; maintain action trackers and follow up on identified issues.
Seniority
Mid-level, hands-on IC
