Compliance Monitoring Officer

Job Description

Your team’s objectives:

• Deliver a robust, well-evidenced compliance monitoring programme across the firm
• Ensure adherence to regulatory requirements and internal policies at all times
• Identify and escalate compliance risks, breaches, or suspicious activity before they cause harm
• Provide second-line assurance over the effectiveness of Quality Assurance activities
• Keep the business ahead of regulatory change through horizon scanning
• Embed Consumer Duty and good customer outcomes across the organisation

How you’ll impact those objectives:

• Design terms of reference, testing logs, and comprehensive final reports for each monitoring review
• Present findings to senior management and drive agreed actions to completion
• Maintain accurate, audit-ready records across all stages of monitoring activity
• Review and validate the effectiveness of Quality Assurance work as second-line assurance
• Support regulatory reporting, horizon scanning, and ad hoc compliance advice requests
• Investigate and escalate potential breaches or unusual patterns to the right internal and external stakeholders