Compliance Monitoring Consultant

Broadgate Search Ltd ,
Newcastle upon Tyne, Tyne and Wear
More Details
Job Type: Full-time
Salary: £20,000 per annum

Overview

I'm working exclusively with my Newcastle based client, who are currently recruiting for a Compliance Monitoring Consultant on a permanent basis to join their team. The ideal candidate will have previous working experience in a Compliance Monitoring role within an FCA regulated business. Role Purpose The role will give exposure to a variety of operations within the firm and allow interaction with both front line and senior staff across the business to ensure compliance in all areas. To take responsibility for the development of the compliance monitoring plan and issue compliance and risk advice across the company, as well as managing FCA related processes, procedures and controls. Key Responsibilities Perform risk assessments to understand the level, significance and scope of risk Report back to business functions on current risk and compliance issues and highlight or escalate areas of concern Monitor compliance with laws, regulations and internal policies, including through designing and completing thematic reviews Assist in the gathering of internal information in response to regulatory request Collaborate with other departments to create a culture of compliance Contribute to robust and effective compliance controls within the organisation Assisting the Head of Compliance and Risk with development of the firms Compliance and Risk Framework Interpretate, and keep up to date with, relevant laws and regulations Provide compliance advice to the business Experience & Knowledge Experience in a Compliance Monitoring role Experience within an FCA Regulated environment A good understanding of FCA regulations and policies Competent with Microsoft Office

People also viewed