Compliance Monitoring Officer - Fintech

Robert Half Limited
London (Greater)
10 Feb 2018
15 Feb 2018
Contract Type
Full Time
About the role:

The Compliance Monitoring Officer will be responsible for undertaking Compliance Monitoring reviews, while assisting in the development and maintenance of the Compliance Monitoring Plan. Reporting to the Head of Compliance, the role will support the wider responsibilities of the Risk & Compliance team and will be expected to work closely with all areas of the business, promoting a positive compliance culture.

Undertake Compliance monitoring and policy testing review in accordance with the Compliance monitoring Plan.

Agree actions with management and present findings in a clear and concise manner.

Assist and make recommendation to the Head of Compliance with the development of a risk based Compliance Monitoring Plan.

Produce accurate and timely reports in respect of Compliance assurance activity.

Be an advocate for increasing compliance awareness and work with the head of Compliance to continually increase awareness across the business.

Support the wider Risk & Compliance Team with the objective of having integrated Risk & Regulatory Affairs.

Main Duties:

Monitoring- Complete policy monitoring and other compliance review activity as directed by the Head of Compliance and in accordance with the Compliance Monitoring Plan- Approximately 70% of the role

Reporting- Provide accurate and timely reporting on monitoring activity and the status of management actions- Approximately 15% of the role

Planning- Assist the Head of Compliance in the planning of future Compliance Monitoring activity-Approximately 5% of the role

Awareness- Assist in the promotion of good levels of education and awareness across all parts of the business- 10 % of the role


* Educated to degree level (Desirable)
* Compliance Qualifications e.g. ICA or equivalent (desirable)


* At least 2-3 years' experience in financial services (essential)
* Experience in consumer credit space (desirable)
* Of working in Compliance and/or Risk teams (desirable)

Key Skills:

* Working knowledge of FCA Regulations, in particular SYSC and CONC (desirable)
* Compliance monitoring (desirable)
* Comfortable working in a fast paced and innovative environment both with a degree of collaboration and autonomy (essential)
* Time management (essential)
* Ability to influence at all levels (desirable)
* Microsoft Word, Excel, Powerpoint (essential)


A vibrant, happy and healthy working environment. They offer free food, drinks and healthy snack options to keep you going throughout the day.

The company culture and office atmosphere is friendly and informal - they are hard-working and take it seriously and we like to have fun too. There are excellent opportunities for career development and internal progression.

As well as competitive salaries, company bonus potential and generous holiday, they have a flexible benefits package which can offer you a range of core, health, wealth and lifestyle options such as company pension, life assurance and income protection, private medical and dental insurance, gym memberships and much more!



Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying to this position, you acknowledge that you have read and accept the following terms: https://[URL removed]
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