Compliance Monitoring Officer

Milton Keynes
10 Oct 2019
11 Oct 2019
Contract Type
Full Time

The Role

Reporting to the Compliance Monitoring Manager (CMM), Compliance Monitoring Officers are part of integral team responsible for assisting the CMM and Head of Financial Services Compliance (HoC) in monitoring, assessing, identifying, reporting and managing both conduct and regulatory risks within the Countrywide Group. The role includes an attractive and dynamic mix of desk and field based activities, ranging from on-site visits to various branches, staff interviews and analysis of various data in line with the Group Compliance Monitoring Programme.

Compliance Monitoring Officers also provide essential advice and guidance to various business units and staff on compliance queries and best practices.

Examples of what you will be doing:

  • Support the development and delivery of the Compliance Monitoring Programme in line with Group FS Compliance Monitoring Plan
  • Conduct compliance monitoring visits in line with the Compliance Monitoring Programme, preparing detailed reports on findings and making recommendations for remedial action where necessary
  • Support the development and implementation of an effective desk based Monitoring Programme focusing on the monitoring of emerging conduct risks and potential customer harm
  • Conduct and assist impartial investigations into acts or allegations of misconduct or fraud
  • Act as a point of contact and Subject Matter Expert for the business with Compliance-related queries, support with educational sessions and training or project related matters

Examples of how you will do your job:

  • Resilient: A "can do" attitude with a desire and ability to deliver positive change and influence behaviours
  • Adaptable: A flexible outlook that embraces individuality when delivering desired outcomes
  • Pragmatic: Sensible consideration of realistic and achievable goals whilst operating safely in line with regulation and an ability to communicate with clarity and impact
  • Reliable: A "go to" person that is recognised for their credibility and regulatory knowledge to provide reliable solutions to technical situations
  • Visible: The presence to lead by example and share knowledge and expertise to develop others

Other helpful things to know:

  • This role will be predominantly based in Countrywide House, Milton Keynes
  • Field-based activities are significant and therefore need to be able and willing to travel as required
  • You will develop working relationships with senior managers in the Group

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