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Regulatory Compliance Officer - Monitoring and Testing

  • Location London
  • Job type Interim
  • Reference .

Investigo are supporting an international bank who cover retail, investment and private banking in the recruitment of a Regulatory Compliance Officer for a 6 month contract. We are seeking a candidate who is a monitoring and testing specialist within the regulatory compliance space. We are open to candidates on either a day rate (inside IR35) or on a FTC.

Main duties:

  • Carry out monitoring and testing across Financial Promotions, Social Media, SMCR, Conflicts of Interest, Personal Account Dealing, Conduct Rules, Complaints and Joiners and Leavers process
  • Drafting detailed documents detailing the monitoring and testing you have completed
  • Making sure that any suggestions made as a result of the monitoring and testing are completed by the business
  • Drafting compliance training memos for the rest of the business, conducting training around regulatory compliance to first line business areas and the front office
  • Helping to develop the compliance monitoring programme for 2022
  • Assisting with drafting policies and procedures and some advisory work
  • Producing and developing MI, and drafting internal reports
  • Keeping up to date, and the business up to date, with any new key relevant legislation's or regulations issued from the UK, EU, and other regulatory bodies

This role will be an immediate start, so any interested candidate cannot be on more than 1 weeks notice.

This is a unique bank with a large and well respected compliance function. You will get some great exposure across the whole business within this role, and it's a really exciting position for an experienced contractor.

This role will be based working from home for the time being. The office location is in the City of London.