At a Glance
- Tasks: Conduct compliance monitoring and thematic reviews to ensure regulatory adherence.
- Company: Leading financial services organisation in Newcastle with a commitment to compliance.
- Benefits: Highly competitive salary and opportunities for professional development.
- Other info: Equal opportunities employer welcoming diverse applicants.
- Why this job: Join a dynamic team and make a real impact on compliance standards.
- Qualifications: Experience in compliance monitoring and strong analytical skills required.
The predicted salary is between 40000 - 50000 £ per year.
- Compliance Monitoring Officer (16537) Newcastle upon Tyne, England
- Apply with Indeed
Job Description
Our client, a leading financial services organisation, is seeking a Compliance Monitoring Officer to join their team in Newcastle.
This is an excellent opportunity for an experienced compliance professional with experience in financial advice and regulatory monitoring to take on a varied role.
Some of the key responsibilities include carrying out scheduled thematic reviews as well as more frequent, hands‑on, risk‑based monitoring activities.
Skills/Experience
- An understanding of the full financial advice process, including client fact-finding, suitability assessments, risk profiling, vulnerability considerations and ongoing servicing requirements.
- Good knowledge of FCA regulations relating to retail investment advice, including Consumer Duty, COBS, conduct standards, disclosure requirements, financial promotions and conflicts of interest.
- Experience of retail investment products, including pensions, ISAs, investment bonds, funds, model portfolios and platform-based investment solutions.
- Previous experience carrying out compliance monitoring, file reviews or risk-based assurance activities within a regulated financial services environment.
- Strong analytical skills with the ability to interpret documentation, assess regulatory risks and produce balanced, evidence-based findings.
- Excellent written and verbal communication skills, with the ability to communicate effectively with stakeholders at all levels and support the implementation of remedial actions.
- A proactive approach with excellent organisational skills and the ability to manage multiple priorities.
- A commitment to maintaining professional standards and continuing professional development.
Core Responsibilities
- Support the delivery of risk‑based compliance monitoring reviews and thematic assessments to evaluate adherence to FCA regulations and internal policies.
- Analyse monitoring outcomes, document findings and assist in preparing reports for senior management.
- Monitor remediation actions, track progress and maintain compliance reporting schedules and monitoring records.
- Assist with regulatory submissions, audit preparation and the coordination of compliance-related meetings and reviews.
- Collaborate with teams across the business to support compliance initiatives and ensure monitoring activities remain aligned with regulatory priorities, business risk and customer outcomes.
- Build effective working relationships with stakeholders, providing guidance and promoting a strong culture of compliance.
- A highly competitive salary
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.
To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.
- CV / Resume: supported file types: . doc . docx . odt . pdf . rtf . txt
- #J-18808-Ljbffr
