Compliance Monitoring Officer

Kind Consultancy is working with a fast-growing Consumer Credit business that is currently seeking a Compliance Monitoring Officer to join their team in Cheshire in a permanent role with a hybrid work model paying up to £40,000.

Working in the second line of defence and reporting to the Compliance Monitoring Lead , the Compliance Monitoring Officer will be responsible for supporting the Monitoring Lead in the planning and delivery of the annual Compliance Monitoring Plan, with key responsibilities including:

  • Conducting Compliance Monitoring reviews to provide assurance to relevant boards and committees on the adequacy of systems and controls in the business, including adherence to regulatory requirements.
  • Supporting the continual development and improvement of the compliance monitoring methodology and overall approach.
  • Tracking the completion of remedial actions required to address deficiencies identified through Compliance Monitoring reviews ensuring sufficient evidence is provided and retained.
  • Developing a strong understanding of the business, it’s teams, roles and the environment which the firm operates within.
  • Developing knowledge of the UK regulatory environment to gain a strong understanding of regulatory sourcebooks, including, but not limited to; DISP, CONC, DPA/GDPR, SYSC, PRIN, CCA & Consumer Duty.
  • Building and maintaining good working relationships with each department to keep up to date with all of the various department’s procedures and processes and to ensure emerging risks and trends can be identified and communicated effectively in a timely manner.
  • Providing clear and accurate reports of findings to the Compliance Monitoring Lead and key stakeholders.

Our ideal candidate for the Compliance Monitoring Officer opportunity:

  • Has a strong understanding of Second Line of Defence Monitoring frameworks including good knowledge of Compliance Monitoring Methodologies
  • Is able to understand and interpret regulatory rules and guidance within the UK Regulatory Environment.
  • Demonstrates a sound knowledge of the FCA rules and guidance, Data Protection and other relevant regulations
  • Has strong organisational, analytical, influencing and negotiating skills
  • Is precise and clear in written and verbal communication and is confident in liaising with all levels of staff to build  strong working relationships with all levels of staff including the Leadership team.
  • Is IT literate with proficiency in Microsoft Office Suite

If you have the skills, knowledge and experience we’re looking for, you’re based in or can commute to Cheshire and you’re interested in the Compliance Monitoring Officer opportunity, please apply with an updated CV today.

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