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Compliance Monitoring and Assurance Officer - 12 month FTC

  • Location
  • Job type Contract
  • Reference 118922

Investigo are seeking a Compliance Monitoring and Assurance specialist for a 12 month fixed term contract role. You will be working for a specialist retail bank, with an investment banking arm supporting the newly created Compliance Governance and Reporting team to complete regulatory rule mapping, and then subsequent internal gap analysis of internal policies, processes and controls against current regulatory rules and requirements.

Key Duties:

  • Use regulatory mapping methodology already to map current regulatory requirements applicable to the Bank.
  • Assess and document the existing controls in order to complete a gap analysis against the regulatory requirements you have identified.
  • Uncover areas where there are compliance-related inadequacies and identify the root cause of the issue.
  • Where inadequacies are noted, undertake an assessment to establish the impact to the Bank.
  • Ensure that any serious inadequacies or deficiencies are escalated in a timely manner to the Head of the Compliance function.
  • Work with the business areas responsible to ensure that feasible action plans are produced to address any deficiencies identified.
  • Help with drafting regulatory notifications.
  • Work with other teams within the Compliance department to discuss any additional ongoing monitoring needs that will be required to ensure adequate oversight from the findings identified within your role.

This role will be based working from home for at least the next 3 months, there is a possibility of flexible working once the bank returns to the office. The office location is based in the City of London, so you will need access to travel to London in order to be a suitable candidate for this role.

The salary for this position is paying between £60,000-£80,000 per annum, and we are seeking a candidate with at least 2-3 years + worth of experience in compliance monitoring, or regulatory compliance with a strong understanding on compliance controls and their suitability.