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Compliance Monitoring Officer

Kind Consultancy is working with a fast-growing Alternative Financial Services business which is currently seeking a Compliance Monitoring Officer to join them in a full-time, permanent role paying £55,000 to £65,000 with a hybrid work model based out of their central London office.

The Compliance Monitoring Officer will support the Compliance Monitoring Manager in delivering a Compliance Monitoring Plan (CMP) which provides assurance to senior management and board that the organisation is operating within the compliance risk appetite, and in line with the relevant conduct guidance and UK regulations, with key responsibilities including:

  • Undertaking 2nd line compliance monitoring activities as part of the risk-based Compliance Monitoring Plan (CMP)
  • When required, providing subject matter expert advice and support on monitoring of Anti-Financial Crime Second Line of Defence (AFC 2LOD) monitoring,
  • Supporting the Compliance Monitoring Manager with the development of compliance monitoring practices and data collection techniques and with embedding a strong compliance culture across the organisation.
  • Working closely with the AFC 2LOD team, to ensure the activity effectively covers AML, counter terrorist financing, sanctions and fraud risk.
  • Accurately assessing the risk of any issues identified, to enable effective prioritisation of reporting and subsequent action tracking.
  • Maintaining awareness of broader conduct risk and regulatory expectations in respect of treating customers fairly and Consumer Duty, providing support and guidance to colleagues and demonstrating appropriate personal conduct.
  • Escalating significant issues to the Compliance Monitoring Manager at the earliest opportunity, to enable discussion and relevant action to be taken.
  • Ensuring records of activity and issues are retained and tracked to completion.
  • Assisting the Compliance Monitoring Manager with the development of monitoring techniques through the use of data and MI, where possible utilising technology to its advantage to maximise resources and efficiency.
  • Delivering constructive feedback and challenge through positive stakeholder engagement and relationships.

Our ideal candidate for the Compliance Monitoring Officer opportunity:

  • Has a substantial background of work in a regulated Banking/Financial Services environment.
  • Has previously completed compliance monitoring activity (Thematic, Focus, Continuous or Deep Dive Reviews) under delegated authority, ideally within a bank.
  • Can utilise technology to develop data and MI to support a Compliance Monitoring Plan
  • Has strong report writing experience.
  • Has a good understanding of understanding Payment Services (especially banking as a service business models), Retail Banking, Merchant Acquiring and Card Issuing (including Payment Scheme rules), the Provision of Safeguarding Accounts, Commercial Lending (including unregulated secured loans via broker distribution), Retail Deposit-Taking (Including via deposit aggregators and depositor protection rules) and Consumer Lending
  • Is able to consider the requirements of Consumer Duty and Treating Customers Fairly within the broader customer outcomes assessed during reviews.

If you’re interested in the Compliance Monitoring Officer position, you’re based in or can commute to London and you have the necessary skills, knowledge and experience, please apply with an updated CV today.

Compliance Monitoring Officer

Kind Consultancy is working with a large, national Financial Services business which is currently seeking a Compliance Monitoring Officer to join them in a full-time, permanent position paying up to £32,000 with a hybrid work model requiring 2-3 in-office days per week in their Milton Keynes offices.

The Compliance Monitoring Officer will support the delivery of second line monitoring across the business, with key responsibilities including:

  • Contributing to the preparation of the Compliance Monitoring Plan, which is risk-based, and approved by the Group Risk & Compliance Director and Group Audit & Risk Committee.
  • Preparing regular, timely, relevant and concise reporting on the Monitoring findings for management, including recommendations for addressing any weaknesses identified.
  • Tracking and reporting on the progress of remedial actions and where appropriate, guiding management in implementing necessary improvements.
  • As required, acting as “Lead Monitoring Officer” to manage specific reviews and coordinate the activities of other Monitoring Officers in relation to that work.
  • Working closely with key business areas and stakeholders, for example the Case Checking Team, across the business to implement the agreed approach to Compliance Monitoring.
  • Staying updated on best practices and external developments in the area of Monitoring and ensure that learning is applied.
  • Undertaking special investigations as required in response to breaches or other issues arising.
  • Identifying and escalating at the earliest opportunity any significant regulatory issues to the line manager in a clear and accurate manner.
  • Conducting onsite visits as required to enable planning, testing and reporting to take place.

Our ideal candidate for the Compliance Monitoring Officer opportunity:

  • Must have relevant experience within Financial Services industry, with particular knowledge of mortgage services.
  • Has a sound understanding of FCA Regulation, including MCOB, ICOBS and DISP.
  • Is a team player, with the ability to work unsupervised.
  • Has a proven ability to build strong and effective working relationships with stakeholders.
  • Demonstrates consistently strong attention to detail and ability to deliver high quality written work and reporting.
  • Displays effective oral and written communication skills.
  • Has the confidence and credibility to provide appropriate and commercial challenge to the business.
  • Holding a professional mortgage qualification (CF1, CF6) or being willing to study for one would be desirable, as would holding a professional compliance qualification (ie. ICA Diploma or Advanced Certificate)

If you’re interested in the Compliance Monitoring Officer position and you have the necessary skills, knowledge and experience and live in or can commute to Milton Keynes, please apply with an updated CV today.

Senior Compliance Monitoring Manager

Kind Consultancy is working with a succesful, growing Challenger Bank which is currently seeking a Senior Compliance Monitoring Manager to join them in a full-time, permanent role based in their West Midlands office.

The Senior Compliance Monitoring Manager will focus on delivering a risk-based Compliance Monitoring plan, tailored to the organisation’s customers and products, with key responsibilities including:

  • Managing delivery of the annual Compliance Monitoring plan, ensuring timely delivery of compliance monitoring activities to ensure adherence to both regulatory and internal policy
  • Undertaking and managing the Compliance Monitoring team in the completion of compliance monitoring activities
  • Producing timely management reports, identifying areas of non-compliance with internal policy, regulatory requirements and the internal control framework
  • Reviewing, monitoring and tracking actions from reports completed by external auditors, ensuring a timely and satisfactory closure is achieved and evidenced by an audit trail
  • Cultivating and developing an enthusiastic and engaging team, encouraging open dialogue with all colleagues to engender trust and drive continuous improvement.
  • Demonstrating creative thinking, challenging existing processes and proposing new ways of working to maximise efficiency.
  • Adding value by tailoring Compliance Monitoring activities to a variety of challenges as they arise and encouraging team members to do the same
  • Reviewing and challenging existing reporting mechanisms and formats to ensure that Compliance Monitoring reporting is engaging, visual and clearly directs the recipient to the key areas of concern or interest.
  • Adopting an open-minded approach to problem solving, seeking pragmatic and cost-effective solutions to business and regulatory issues and subsequently ensuring that the team measure and monitor the performance of those solutions, allowing for swift identification of ongoing and repeat issues
  • Representing Compliance Monitoring at stakeholder and client facing meetings

Our ideal candidate for the Senior Compliance Monitoring Manager opportunity:

  • Demonstrates experience and understanding of the FCA Handbook, specifically PRIN, SYSC, COCON, CONC, COBS, BCOBS, MCOB, DISP and SUP in addition to the Payment Services Regulations (PSR), with the ability to apply this knowledge to day-to-day decision making.
  • Has 5+ years of experience working in a Compliance role within Financial Services, with experience of managing team performance.
  • Is an excellent communicator, able to adapt their style to provide pragmatic feedback and guidance both verbally and in written reports
  • Is an engaging team leader, inspiring reports to produce high quality, value-adding outputs
  • Has a track record of succesful risk-based decision making, and of influencing key stakeholders to reduce regulatory and conduct risks
  • Is confident in managing their own workload and deliverables, ensuring high standards of quality and monitoring
  • Is able to interpret regulatory developments and apply them to the organisation’s activities
  • Holds one or more relevant industry qualifications such as the International Compliance Association (ICA) GRC Diploma (not essential but highly desirable)

If you’re interested in the Senior Compliance Monitoring Manager opportunity and you have the necessary skills, knowledge and experience and are based in or can commute to the West Midlands, please apply with an updated CV today.

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