Compliance Monitoring Officer
Location: Manchester / 2 days office, 3 days WFH
Salary: £40,000
We are recruiting on behalf of a UK leading, national & respected financial services firm for a Compliance Monitoring Officer to join their Legal & Regulatory team. This is a key role within the Compliance Monitoring function, responsible for supporting the business in identifying, assessing, and managing regulatory and operational risks.


Role Overview
The Compliance Monitoring Officer undertakes reviews in line with a risk-based Compliance Monitoring Programme, ensuring the firm’s activities comply with regulatory requirements. This is an individual contributor role with no managerial responsibilities, but it involves close collaboration with stakeholders across the business.


Key Responsibilities
*Conduct Deep Dive Thematic Reviews: assess compliance with specific regulations, carry out investigations, and produce concise reports with recommendations.
*Perform Regular Monitoring: review potential risk areas and prepare summary reports highlighting issues and suggested actions.
*Appointed Representative Monitoring: ensure adherence to regulatory requirements and contribute to annual oversight reports.
*Action Tracking & Reporting: log and track recommendations to completion, providing regular updates for governance committees.
*Assist the Risk and Assurance Manager in drafting the annual compliance monitoring plan using a risk-based approach.
*Prepare Management Information to keep senior stakeholders informed of monitoring activities.


Knowledge, Experience & Skills
Knowledge:
*Strong understanding of regulations applicable to a financial services firm, including financial advice and discretionary management services.
*Relevant qualifications in financial services regulation or compliance are desirable but not essential if equivalent knowledge has been gained through experience.
Experience:
*Experience in an FCA-authorised financial services firm, preferably in compliance, monitoring, or risk roles.
*Working within multifaceted teams and liaising with a variety of stakeholders.
*Experience interpreting FCA Handbook requirements and drafting concise reports.
Skills:
*Excellent attention to detail and accuracy
*Strong analytical, planning, and organisational skills
*Effective oral and written communication
*Proficient in Microsoft Office, particularly Excel
*Adaptable and flexible with the ability to work independently
*Ability to build effective working relationships at all levels


Apply today via NJR Recruitment quoting the reference NJR16312


Please note: Due to a high volume of applications, if your CV does not reflect the essential requirements, or you answer ’no’ to key screening questions, we may not be able to contact you.