Job Title:
Compliance Monitoring Officer Location:
Newcastle upon Tyne, United Kingdom Job Category:
Banking EU work permit required:
Yes Job Reference:
15941_1737026735 Job Views:
22 Posted:
16.01.2025 Expiry Date:
02.03.2025 Job Description:
Core-Asset is working on an exciting opportunity for a Compliance Monitoring Officer to join the team at a leading financial services firm based in Newcastle. In this role, you will work within the Compliance team to undertake allocated Compliance Monitoring reviews, agree findings and actions with colleagues to address issues identified, and support the Compliance Monitoring Manager with the design of the annual compliance monitoring plan. Skills/Experience:
Experience of working in a compliance or assurance function within financial services. Experience completing compliance or assurance monitoring reviews. Strong knowledge of the FCA handbook and the financial services regulatory framework. Strong communication and stakeholder management skills. Positive and self-motivated with a can-do attitude to problem solving. Minimum A levels. Ideally degree educated and or qualifications from recognised industry providers such as CISI, ICA or FSA. Core Responsibilities:
Undertake allocated Compliance Monitoring reviews in accordance with the firm’s monitoring methodology and keeping to the timescales Second Line Monitoring Schedule. Agree findings and appropriate actions with relevant colleagues to address issues identified in order to meet regulatory obligations, deliver good customer outcomes and avoid foreseeable harms to customers from materialising. Support the Compliance Monitoring Manager with the design of the annual compliance monitoring plan, including scoping, fieldwork, documentation and reporting. Assist in the gathering of internal information in response to regulatory returns and requests. Completion of due diligence on third parties. Contribute to robust and effective compliance controls within the firm. Collaborate with other departments to create a culture of compliance. Benefits:
A highly competitive salary Wider Benefits package Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy. Job reference: 15941 To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.
#J-18808-Ljbffr
Compliance Monitoring Officer Location:
Newcastle upon Tyne, United Kingdom Job Category:
Banking EU work permit required:
Yes Job Reference:
15941_1737026735 Job Views:
22 Posted:
16.01.2025 Expiry Date:
02.03.2025 Job Description:
Core-Asset is working on an exciting opportunity for a Compliance Monitoring Officer to join the team at a leading financial services firm based in Newcastle. In this role, you will work within the Compliance team to undertake allocated Compliance Monitoring reviews, agree findings and actions with colleagues to address issues identified, and support the Compliance Monitoring Manager with the design of the annual compliance monitoring plan. Skills/Experience:
Experience of working in a compliance or assurance function within financial services. Experience completing compliance or assurance monitoring reviews. Strong knowledge of the FCA handbook and the financial services regulatory framework. Strong communication and stakeholder management skills. Positive and self-motivated with a can-do attitude to problem solving. Minimum A levels. Ideally degree educated and or qualifications from recognised industry providers such as CISI, ICA or FSA. Core Responsibilities:
Undertake allocated Compliance Monitoring reviews in accordance with the firm’s monitoring methodology and keeping to the timescales Second Line Monitoring Schedule. Agree findings and appropriate actions with relevant colleagues to address issues identified in order to meet regulatory obligations, deliver good customer outcomes and avoid foreseeable harms to customers from materialising. Support the Compliance Monitoring Manager with the design of the annual compliance monitoring plan, including scoping, fieldwork, documentation and reporting. Assist in the gathering of internal information in response to regulatory returns and requests. Completion of due diligence on third parties. Contribute to robust and effective compliance controls within the firm. Collaborate with other departments to create a culture of compliance. Benefits:
A highly competitive salary Wider Benefits package Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy. Job reference: 15941 To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.
#J-18808-Ljbffr
