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Compliance Monitoring Officer

Broadgate Search
Closing date
23 Feb 2021

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Contract Type
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Job Details

Broadgate are working closely with a Merseyside based Financial Services client who are currently recruiting for a Compliance Monitoring professional.

Role Purpose

Support the Compliance function with the delivery of the annual compliance monitoring plan through testing key business processes and controls

Key Responsibilities

  • Carry out monitoring reviews (both thematic and focused)
  • Produce accurate and timely updates on monitoring activity that will be included in the regular compliance MI pack.
  • Support the Compliance function to embed a strong compliance culture through delivery of the Compliance Monitoring Plan.
  • Keep up to date with changes to regulatory requirements, new legislation and codes of practice.

Experience & Knowledge

  • Minimum of 1 years' experience of working in a Compliance monitoring position.
  • Previous experience of working in a Compliance position for a Financial Services firm

For more information, please email
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