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For Companies At a Glance
- Tasks: Join our team to ensure compliance and improve customer outcomes in a regulated financial environment.
- Company: Be part of a dynamic Risk & Compliance team focused on regulatory excellence.
- Benefits: Enjoy a hybrid working model and flexible start dates.
- Why this job: Make a real impact while developing your skills in compliance and regulatory frameworks.
- Qualifications: Experience in compliance or quality assurance within FCA-regulated firms is essential.
- Other info: This is a 12-month fixed-term contract covering maternity leave.
The predicted salary is between 36000 - 60000 £ per year.
Job Description
We’re looking for a Compliance Monitoring Officer to join our clients Risk & Compliance team on a 12-month fixed-term contract to cover maternity leave. This role is an excellent opportunity to make a real impact in a regulated financial services environment.
As part of the second line of defence, you’ll play a key role in ensuring the business continues to meet regulatory expectations, with a strong focus on Consumer Duty and good customer outcomes.
Key Responsibilities
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Deliver thematic and routine compliance reviews in line with the Compliance Monitoring Plan
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Evaluate how effectively Consumer Duty outcomes are embedded in business processes
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Provide clear, actionable feedback and support collaborative improvements across teams
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Track, follow up, and close agreed actions from reviews using the Action Tracker
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Investigate compliance breaches, establish root causes, and oversee corrective measures
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Maintain key compliance registers, including breach and gifts/hospitality logs, and monitor conflicts of interest
What We’re Looking For
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Experience in a compliance or quality assurance role within an FCA-regulated firm (experience in investment platforms, stockbroking, or similar would be an advantage, but other regulated sectors will also be considered)
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Knowledge of compliance monitoring/testing methodologies
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Familiarity with the FCA Handbook (e.g. COBS, SYSC, CASS, MAR, Financial Crime, Consumer Duty)
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Awareness of AML legislation, JMLSG guidance, and financial crime prevention expectations
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Strong analytical and problem-solving skills with excellent attention to detail
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Confident communicator with the ability to influence and build effective relationships
Contract Details
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12-month fixed-term contract (maternity cover)
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Hybrid working model
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Start date: ideally September or October 2025, but flexibility is available
Compliance Monitoring Officer 12 month FTC employer: MERJE Ltd
Contact Detail:
MERJE Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Officer 12 month FTC
✨Tip Number 1
Familiarise yourself with the FCA Handbook, especially sections relevant to Consumer Duty and compliance monitoring. This knowledge will not only help you in interviews but also demonstrate your commitment to understanding the regulatory landscape.
✨Tip Number 2
Network with professionals in the compliance field, particularly those who have experience in FCA-regulated firms. Engaging in conversations can provide insights into the role and may even lead to referrals or recommendations.
✨Tip Number 3
Prepare to discuss specific examples of how you've handled compliance issues in the past. Highlight your analytical skills and problem-solving abilities, as these are crucial for the Compliance Monitoring Officer role.
✨Tip Number 4
Stay updated on recent developments in compliance regulations and financial crime prevention. Showing that you're proactive about industry changes can set you apart from other candidates during the interview process.
We think you need these skills to ace Compliance Monitoring Officer 12 month FTC
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance or quality assurance roles, especially within FCA-regulated firms. Emphasise any specific knowledge of compliance monitoring methodologies and the FCA Handbook.
Craft a Strong Cover Letter: In your cover letter, clearly express your understanding of Consumer Duty and how it relates to good customer outcomes. Provide examples of how you've delivered compliance reviews or improved processes in previous roles.
Showcase Analytical Skills: Demonstrate your analytical and problem-solving skills in your application. Mention specific instances where you identified compliance breaches, established root causes, and implemented corrective measures.
Highlight Communication Abilities: Since the role requires influencing and building relationships, include examples of how you've effectively communicated with teams or stakeholders in past positions. This will show your ability to collaborate and support improvements across teams.
How to prepare for a job interview at MERJE Ltd
✨Know Your Compliance Regulations
Familiarise yourself with the FCA Handbook and key regulations such as Consumer Duty, AML legislation, and financial crime prevention. Being able to discuss these topics confidently will demonstrate your expertise and understanding of the compliance landscape.
✨Showcase Your Analytical Skills
Prepare examples from your previous experience where you successfully evaluated compliance processes or identified breaches. Highlight your analytical and problem-solving skills, as these are crucial for the role.
✨Communicate Effectively
Practice articulating your thoughts clearly and concisely. As a Compliance Monitoring Officer, you'll need to influence and build relationships across teams, so showcasing your communication skills during the interview is essential.
✨Demonstrate Collaborative Improvement
Be ready to discuss how you've provided actionable feedback in past roles and how you've worked collaboratively to implement improvements. This will show that you can contribute positively to the team's objectives.
