Remote Compliance Monitoring Officer

Summary

Join AJ Bell as a proactive Compliance Monitoring Officer to ensure continued compliance in a highly regulated financial services environment.

Requirements

• Previous experience in a compliance function within an FCA regulated business, either in a Stockbroker, Investment Platform or Investment business would be preferable but other sectors considered
• Compliance or quality assurance monitoring and testing experience
• Working knowledge or awareness of the UK regulatory regime and awareness of the wider EU regulatory framework
• Working knowledge or awareness of current FCA Handbook, in particular COBS; SYSC; Financial Crime; CASS; and MAR, and the Consumer Duty
• Working knowledge or awareness of legislative framework for financial crime including JMLSG guidance on AML requirements and the FCA’s financial crime prevention requirements

Responsibilities

• Carry out reviews in line with the Compliance Monitoring Plan in an effective and rigorous manner, evidencing consideration of embedding of good consumer outcomes in line with the Consumer Duty, effectiveness of risk controls, and GDPR considerations
• Collaboration, feedback and challenge with relevant stakeholders, both within Risk & Compliance and within the relevant business areas
• Ensure that all necessary records and documents are maintained in compliance with FCA regulations
• Monitor staff accounts in conjunction with company policies
• Maintain the breach register, including investigation of individual breaches to determine root cause and sufficient corrective action to prevent recurrence
• Maintain the gifts and hospitality register

Benefits

• Starting salary up to £40,000 (DOE)
• Starting holiday entitlement of 25 days, increasing up to 31 days with length of service
• Holiday buy and sell scheme
• A choice of pension schemes with matched contributions up to 5%
• Discretionary bonus scheme
• Annual free share awards scheme
• Buy As You Earn (BAYE) Scheme
• Health Cash Plan – provided by SimplyHealth
• Discounted private healthcare scheme and dental plan
• Free gym membership, with an on-site gym providing a wide range of free classes
• Employee Assistance Programme
• Bike loan scheme
• Sick pay+ pledge
• Enhanced maternity, paternity, and shared parental leave
• Discounted nursery fees at Kids Planet on Exchange Quay
• Loans for travel season tickets
• Death in service scheme
• Paid time off for volunteer work
• Charitable giving opportunities through salary sacrifice
• Calendar of social events, including monthly payday drinks, annual Christmas party, summer party and much more
• Parking at Exchange Quay
• Personal development programmes built around you and your career goals, including access to personal skills workshops
• Ongoing technical training
• Professional qualification support
• Talent management programmes
• Peer recognition scheme, with rewards including restaurant and shopping vouchers or time off
• Monthly leadership breakfasts and lunches
• Casual dress code
• Access to a range of benefits from our sponsorship deals
• Hybrid working