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Compliance Monitoring Officer

Salary £30k to £40k
Type Permanent
Location Manchester
Sectors Compliance
Job Reference UK2C/jxl/28054
Contact BRUIN Financial
Date posted 12-02-2018

Bruin are proud to be working with one of Manchester's fastest growing financial services provider. The business has seen double-digit growth over the last year and is expected to continue the trend onwards to 2020. They are looking for a Compliance Monitoring Officer to support this sustained period of growth to ensure the company remains compliant with all FCA rules, guidance & principles, by undertaking monitoring work under a risk based monitoring plan.

The role:

• Carry out in depth compliance monitoring and regular reviews in accordance with the agreed plan in an effective and rigorous manner and report results to the Head of Compliance Monitoring as appropriate.
• To write reports of findings using the compliance reporting template.
• Support the Head of Compliance Monitoring with the maintenance and delivery of the Compliance Monitoring Plan.
• To represent the compliance function in delivering feedback on monitoring reviews, where appropriate.
• Ensuring that good consumer outcomes are delivered constantly and consistently across the business.
• Support the Compliance Management team with investigations of matters relating to potential financial crime with the reporting of any to the relevant authorities.
• Maintain essential records and documents, as required by the FCA rules.
• To ensure that all relevant management information is provided in a timely manner.


o The UK regulatory regime and awareness of the wider EU regulatory framework.
o The current FCA Handbook, with a detailed knowledge of some areas, in particular of COBS, SYSC, Financial Crime, CASS & MAR.
o Compliance monitoring and testing methodologies.
o Understanding the delivery of a good customer outcome framework.
o The legislative framework for financial crime including JMLSG guidance on AML requirements and the FCA’s financial crime prevention requirements.

If you are interested in this role and feel you match the requirements please apply or send your CV to

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