Location: Manchester (Hybrid)
A leading UK financial services firm is hiring a Compliance Monitoring Officer to support risk control, ethical practices, and FCA compliance, particularly around Consumer Duty.
Key Responsibilities:
- Conduct thematic and routine compliance reviews to assess Consumer Duty alignment, risk control effectiveness, and regulatory adherence.
- Support the delivery of the Compliance Monitoring Plan, providing actionable insights and feedback to drive business-wide improvements.
- Investigate breaches, manage compliance registers (e.g. breaches, gifts, conflicts), and ensure timely resolution and accurate reporting.
- Champion fair customer outcomes and help embed a culture of ethical conduct across the business.
- Experience in a compliance role within an FCA-regulated environment; knowledge of investment platforms or stockbroking is a plus.
- Strong understanding of compliance monitoring, testing methodologies, and regulatory frameworks.
- Familiarity with the FCA Handbook (COBS, SYSC, CASS, MAR, etc.) and awareness of AML legislation and financial crime prevention.
