Compliance Monitoring Executive

One Advice
10 Feb 2018
15 Feb 2018
Contract Type
Full Time

We have an exciting opportunity for a Compliance Monitoring Executive to join our compliance department on a permanent basis based out of our office in Sale, Manchester (M33.) You will be a part of a core team who are responsible for compliance monitoring for the whole of the group.

About The Role

Compliance Monitoring Executive
Department: Compliance
Location: Sale, M33
Salary: £30,000 - £40,000

The Compliance Monitoring Executive will undertake thematic reviews to ensure that the Group's FCA compliance strategy, policies and operational processes are adhered to and that all gaps and risks are identified and reported to the business for remediation . They will require strong interpersonal skills and preferably have previous experience in the regulatory field within the FCA environment. It is essential that candidates applying have compliance monitoring experience. The ideal candidate will have a proactive approach to the role and be able to communicate effectively and analytically.

Previous compliance monitoring experience is essential for this position

Key Responsibilities

  • Regulatory risk is managed in line with risk appetite and policy across the Business.
  • Develops and implements corrective action plans for the resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future through the FS compliance development plan strategy.
  • Assists in the production of the Annual Risk & Compliance Monitoring Plan and its completion.
  • Conducts root cause analysis in respect to risk based reviews and undertakes investigations as required by Management.
  • Complete ad hoc reporting as and when required in line with identified risks from investigative reporting.
  • Acts as an independent review and evaluation body to ensure that compliance issues and concerns within the Business are being appropriately evaluated, investigated and resolved.
  • 360 degree approach in communicating remediation and corrective actions post-review.
  • Escalate any breaches, non conformance and risks including fraud as identified and required. Produce comprehensive and effective reporting detailing findings and actions required

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