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Compliance Monitoring and Assurance Officer

  • Location:


  • Sector:

    Risk & Compliance

  • Job type:


  • Salary:


  • Contact:

    Vanessa Rohr

  • Contact email:

  • Job ref:


  • Published:

    15 Tage her

  • Expiry date:


Our client is a growing Retail Financial Services firm that has a requirement for 2 Compliance professionals to join their team.

Reporting into the Compliance Manager, your responsibilities will include:

  • Assisting with the development and implementation of an annual risk-based Compliance Monitoring and Assurance Plan to manage Compliance Risks.
  • Assisting with the performance of the Compliance Monitoring and Assurance reviews in line with the Compliance Monitoring & Assurance Plan.
  • Supporting the completion of Fitness & Probity Processes.
  • Supporting the provision of independent oversight and challenge of the identification, assessment and management of Compliance Risks and Associated Controls.
  • Assist with the monitoring, tracking and validating the progress on rectification of regulatory breaches and other Compliance weaknesses identified.
  • Assisting with the compilation of compliance reports including relevant Management Information and Key Risk Indicators to Senior Management, Compliance governance fora, the Audit and Risk Committee and the Board.
  • Assist with the maintenance and archive of required Team documentation on designated Compliance share drive.
  • Supporting the Compliance Manager in attendance at Compliance workshops.
  • Raise and report regulatory breaches to Compliance Monitoring & Reporting Manager as required.

The ideal candidate will likely have:

- 2 years previous compliance experience with a focus on AML, CFT, Consumer protection and fitness& Probity legislation

- Can do attitude

On Offer:

The opportunity to be part of a rapidly growing team whilst being well rewarded

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