Compliance Monitoring Officer Location: Manchester / 2 days office, 3 days WFH Salary: £40,000 We are recruiting on behalf of a UK leading, national & respected financial services firm for a Compliance Monitoring Officer to join their Legal & Regulatory team. This is a key role within the Compliance Monitoring function, responsible for supporting the business in identifying, assessing, and managing regulatory and operational risks. Role Overview The Compliance Monitoring Officer undertakes reviews in line with a risk-based Compliance Monitoring Programme, ensuring the firm’s activities comply with regulatory requirements. This is an individual contributor role with no managerial responsibilities, but it involves close collaboration with stakeholders across the business. Key Responsibilities

Conduct Deep Dive Thematic Reviews: assess compliance with specific regulations, carry out investigations, and produce concise reports with recommendations. Perform Regular Monitoring: review potential risk areas and prepare summary reports highlighting issues and suggested actions. Appointed Representative Monitoring: ensure adherence to regulatory requirements and contribute to annual oversight reports. Acti...

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