Accessibility Links

Compliance Monitoring Officer

  • Salary: £40000 - £43000 per annum
  • Location: Manchester, Greater Manchester
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    22 Jun 2021
  • Job reference: 35321

An exciting opportunity has arisen for an experienced Compliance Monitoring Officer to join a HNW wealth and investment firm in Manchester city centre.

The successful candidate will be responsible for contributing to the delivery of the firm's compliance monitoring programme and in doing so, creating a record of the firms' compliance with its regulatory and legal obligations.

Key Accountabilities:

  • Deliver a series of defined monitoring tests to ascertain the firms' compliance with its regulatory and legal obligations
  • Delivery of compliance tests on time, in accordance with compliance monitoring plan schedule
  • Maintaining excellent record keeping correct use of test folders, version control, naming conventions
  • Engage with business pre and post testing; monitoring and verifying the completion of actions which help the business demonstrate positive compliance with its regulatory and legal obligations
  • Evolving, adapting and designing CMP testing sheets
  • Daily gap analysis of the CMP scope and application
  • Actively contributing through monitoring to a 'live' compliance risk assessment of the firm
  • Daily completion of Market Abuse Monitoring activity

Knowledge / Experience

  • Relevant qualifications through industry body (Cii or CISI) or educational institution
  • Working knowledge of the FCA handbook across, investment management, wealth planning and lending
  • Familiarity with ESMA and EBA rules and the interaction between European legislation and FCA/PRA
  • Delivering and/or assessing delivery of, theFCA handbook described above through analysis of:
    • Client files, procedures, processes, record keeping
    • Delivering regulatory change within a firm
    • Responsibility, expectation and governance of a 3LOD model
  • Ability to engage people effectively in order to recognise and achieve agreed outcomes
  • Ability to understand regulatory text - regulation, directive, guidance - and understand the practical implications and applications of that
  • Excellent business writing skills the ability to summarise at high level as-well-as explain detail findings clearly and concisely
  • Ability to apply root cause analysis to findings in order to create effective actions

For more information please contact Graeme Hyland on 07896 933622 or email

Visit the IDEX Consulting Ltd website for further opportunities. We value diversity and always provide guidance based on merit. Please note that the information supplied may be retained for up to 3 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.

Our clients include: