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Compliance monitoring officer

Manchester
Compliance monitoring officer
£70,000 a year
Posted: 17 August
Offer description

Compliance Monitoring Officer (12-Month FTC) Location: Manchester (Hybrid) A leading UK financial services firm is hiring a Compliance Monitoring Officer to support risk control, ethical practices, and FCA compliance, particularly around Consumer Duty. Key Responsibilities: Conduct thematic and routine compliance reviews to assess Consumer Duty alignment, risk control effectiveness, and regulatory adherence. Support the delivery of the Compliance Monitoring Plan, providing actionable insights and feedback to drive business-wide improvements. Investigate breaches, manage compliance registers (e.g. breaches, gifts, conflicts), and ensure timely resolution and accurate reporting. Champion fair customer outcomes and help embed a culture of ethical conduct across the business. Requirements: Experience in a compliance role within an FCA-regulated environment; knowledge of investment platforms or stockbroking is a plus. Strong understanding of compliance monitoring, testing methodologies, and regulatory frameworks. Familiarity with the FCA Handbook (COBS, SYSC, CASS, MAR, etc.) and awareness of AML legislation and financial crime prevention.

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