Compliance Monitoring Officer
Shawbrook continue to grow and as part of our growth strategy we are looking to add a compliance monitoring office to our well established compliance function. The role holder will work closely with the compliance colleagues and members of the monitoring team assisting the delivery of the annual risk-based compliance monitoring plan. This is an excellent opportunity for a compliance professional to develop and grow their experience with a specialist lender going through continued growth.
Key responsibilities of the role include the following:
- Support the Head of Compliance Monitoring and the Compliance Manager in the delivery of the risk based Compliance Monitoring Plan.
- Assist in agreeing the Term of Reference and Scope for each review; liaising on preparation and timing of visits where appropriate.
- Promote best practice across compliance monitoring by maintaining high standards and ensuring staff are aware of, and competent in, the relevant compliance policies and procedures.
- Provide assistance in the preparation of full and executive summary reports.
- Provide guidance to the 1st and 3rd lines of defence in developing and maintaining a robust 3LoD framework, sharing information where appropriate.
Suitable candidates will have the following qualifications and experience.
- Hold or currently working towards a professional qualification.
- Proven compliance monitoring or quality assurance experience gained within financial services environment.
- Successful track record of achievement with monitoring or quality assurance activities.