Compliance Monitoring Officer

Job Title Compliance Monitoring Officer
Sector Risk & Compliance
Location Hampshire
Type Permanent
Salary £65000-£72000

Our Client is a leading Investment and Wealth Management business who are looking to recruit an experienced Compliance Monitoring Officer to help maintain excellent regulatory and operational knowledge.

Key Responsibilities:

  • Provide regulatory monitoring within the specialist regulated entity
  • Deputise for the Monitoring Manager when required
  • Deliver assigned monitoring reviews, either at an individual or multiple regulated entity level, to a high standard and to agreed timescales
  • Develop Terms of Reference/Scope documents for reviews assigned, undertaking fact finding to identify key risks and controls for inclusion
  • Ensure completeness of evidence gathered and record keeping associated from testing, on which findings and conclusions are clearly based

Key Skills & Experience required:

  • Experience within Compliance Monitoring, Assurance or Audit
  • Strong knowledge and exposure to Investment Management, Life & Pensions or Financial advice
  • Excellent UK regulatory knowledge particularly FCS exposure
  • Strong planning and analytical skills
  • Excellent interpersonal and communication skills


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