Location: Leeds
The Compliance Monitoring Specialist ensures the firm adheres to regulatory requirements and internal policies by conducting regular compliance audits and reviews. The role supports the effectiveness of compliance programs and promotes a strong culture of compliance across the business.
Responsibilities
- Conduct risk-based compliance monitoring reviews and audits.
- Ensure adherence to FCA regulations and internal policies.
- Support the development and execution of the compliance monitoring programme.
- Report on compliance breaches and recommend corrective actions.
- Prepare compliance reports for management and regulators.
- Evaluate customer outcomes across all product lines.
- Liaise with external auditors and regulatory bodies as needed.
- 3–5 years in a compliance monitoring role within Financial Services (ideally Investment Management)
- Strong knowledge of FCA handbooks and regulatory requirements.
- Relevant compliance qualification.
