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Compliance Monitoring Officer, Horsham

£30000 - £40000 Plus excellent benefits

We are pleased to represent this dynamic, market leading Financial Services firm that seek a Compliance Officer to join them.

The business creates bespoke, cloud-based technology solutions to support Financial Services firms. This revolutionary technology, using its centralised system, simplifies and streamlines all aspects of a companies business model which in turn benefits the client.

The Compliance Monitoring Officer will monitor the firm’s systems/controls, and, in doing so, provide assurance, advice and guidance to the wider business. You will support compliance in-line with the firm’s regulatory obligations.

Key Activities

  • Undertake regulatory monitoring, focusing primarily on FCA regulations, internal standards, and measurement of fair outcomes for customers
  • Work alongside the Compliance Manager in the development and tracking of the Compliance Monitoring Plan
  • Develop Terms of Reference/Scope documents for reviews assigned, undertaking fact finding to identify key risks and controls for inclusion
  • Deliver regular, timely, relevant and concise written reports summarising the findings, including recommendations for addressing any weaknesses identified
  • Provide verbal feedback when required to operational areas, including to senior management, in respect of review findings
  • Ensure completeness of evidence gathered and record keeping associated from testing, on which findings and conclusions are clearly based
  • Track and report on the progress of remedial actions and where appropriate, guide management in implementing necessary improvements
  • Generate regular MI reports and summaries of reviews/findings for senior management analysis
  • As the "Lead Monitoring Officer", manage reviews and coordinate the activities of other team members 
  • Maintain up to date CPD records demonstrating that skills and knowledge required to do the job are being maintained and enhanced
  • Assist Compliance team members and to cover in time of need, as required and directed by Compliance Manager
  • Undertake any other wider work including ad-hoc projects, as required and directed by the Compliance Manager

Required Skills/Experience

  • Experience within Compliance Monitoring or Audit including knowledge of Compliance monitoring tools and techniques, including interviewing skills
  • Good knowledge of retail investments, savings and pensions
  • Excellent knowledge of relevant FCA rules and their interpretation/application
  • Strong interpersonal and communication skills, with the ability to build rapport and forge strong working relationships
  • Effective planning and analytical skills
  • Competent with Microsoft Office programs
  • The desire to maintain competency in line with legislation and technical changes within the industry

Desirable Skills/Experience

  • An understanding of the Platform or Investment Industry and the regulations that impact upon it would be a clear advantage
  • CISI IOC level 3 qualified (or equivalent) or close to completion

Personal Characteristics

  • Team player who has the desire to self-improve and broaden knowledge
  • Ability to work unsupervised and manage own workload
  • Excellent attention to detail
  • Inquisitive and analytical mind


Employment type: 
Employed (Full Time)
Financial Planning
Reference Number: