Interim - Compliance Monitoring Executive

Job Title: Interim - Compliance Monitoring Executive
Contract Type: Temporary
Location: Newport
Salary: £200 - £250 per day
Start Date: 18/06/2019
Reference: 14025303/001_1560867724
Contact Name: Ross Brown
Contact Email:
Job Published: June 18, 2019 15:22

Job Description

This organiosation is growing from strength to strength and you will be replacing someone moving internally into a project

Client Details

My client is a large growing Financial Services business based in Newport


As a Compliance Monitoring Executive you will be responsible for ensuring that the business remains compliant with relevant regulatory and legislative obligations, including CCA regulation, and FCA rules, guidelines, and principles.

Key accountabilities of this position include, but are not limited to:

  • Having an awareness of regulatory fines and other market initiatives to ensure the business and its clients are not exposed to risks
  • Having an awareness of regulatory changes
  • Conducting compliance monitoring activities in accordance with the Compliance Monitoring Plan
  • Assessing levels, and adequacy, of compliance
  • Encouraging the organisations internal population to comply with regulations, providing guidance where necessary
  • Assisting the Compliance Monitoring Manager with the creation of annual Compliance Monitoring Plans
  • Preparing terms of reference and compliance monitoring reports
  • Acting upon remedial actions set out in compliance review reports


The successful candidate for the Compliance Monitoring Executive position will ideally have:

  • An education to GCSE level or equivalent
  • Demonstrable knowledge of FCA, CCA, and DPA rules and guideance
  • Knowledge of FCA complaints process
  • Competent knowledge of IT and systems
  • Strong attention to detail and ability to work to deadlines

Job Offer

An initial 3 month assignment

Salary £200-£250 per day ltd co