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Compliance Monitoring Consultant

Job Description

An exciting opportunity has presented itself within one of my values Retail Financial Services clients based in Yorkshire. Ideal candidates will have a good understanding of compliance monitoring proceedures, and be able to contribute to the delivery of the Compliance Monitoring agenda by producing quality reviews an guidance based on their findings throughout the year. You will also have relevant qualifications and experience across product and service areas, with technical knowledge across FCA handbook areas e.g. MCOB, BCOBS, COBS & ICOBS.

  • Work closely with the Compliance Monitoring Manager/ Senior Compliance Monitoring Manager to continually improve processes and systems for Compliance reviews, with an emphasis upon business service levels, productivity, efficiency optimisation, customer service focus and the long-term benefits for the Society and its subsidiaries
  • Responsible for personally keeping up to date in respect to all relevant sections of the FCA Handbook including the key aspects of BCOBS, COBS, ICOBS, MCOB including sales process, key elements of SYSC/FIT/APER, Training and Competence
  • Manage and prioritise own workload, and support other Compliance Consultants (CCs), taking into account the team’s SLAs and own Key Business Priorities (KBPs)
  • Have the ability to perform more complex reviews;
  • The provision of advice and guidance to the Society and its subsidiaries on actions required to achieve compliance with prevailing regulatory requirements and Codes of Practice as part of recommendations in Monitoring report.

Please contact Richard Miller to discuss further.