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

• Deliver thematic and routine compliance reviews in line with the Compliance Monitoring Plan

• Evaluate how effectively Consumer Duty outcomes are embedded in business processes

• Provide clear, actionable feedback and support collaborative improvements across teams

• Track, follow up, and close agreed actions from reviews using the Action Tracker

• Investigate compliance breaches, establish root causes, and oversee corrective measures

• Maintain key compliance registers, including breach and gifts/hospitality logs, and monitor conflicts of interest

What We’re Looking For

• 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)

• Knowledge of compliance monitoring/testing methodologies

• Familiarity with the FCA Handbook (e.g. COBS, SYSC, CASS, MAR, Financial Crime, Consumer Duty)

• Awareness of AML legislation, JMLSG guidance, and financial crime prevention expectations

• Strong analytical and problem-solving skills with excellent attention to detail

• Confident communicator with the ability to influence and build effective relationships

Contract Details

• 12-month fixed-term contract (maternity cover)

• Hybrid working model

• Start date: ideally September or October 2025, but flexibility is available