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Compliance Monitoring

Barclay Simpson
London, United Kingdom (Hybrid)
£50,000 - £65,000
Closing date
17 Apr 2024

Job Details

Job Title: Compliance Monitoring Officer
Location: London Hybrid 2 days in the office
Job Type: Full-time

About Us: My client is a leading retail banking organisation committed to providing exceptional financial services to our customers. We strive to uphold the highest standards of compliance and integrity in all aspects of our operations.

Job Description: As a Compliance Monitoring Officer at you will play a pivotal role in ensuring adherence to regulatory requirements and internal policies. Your responsibilities will include:

  • Offering subject matter expertise on the interpretation and application of local and Group compliance policies and standards.
  • Supporting with the review and approval of new and existing client relationships.
  • Assisting with performing 2nd Line Testing on 1st Line of Defence functions.
  • Preparing and delivering relevant training to employees.
  • Preparing memos for governance approval or review.
  • Reviewing escalations and triaging them appropriately.
  • Receiving and preparing data required to fulfil MI requests.
  • Assisting with testing compliance-owned systems and methodologies.
  • Maintaining all business-as-usual compliance registers.
  • Tracking emerging risk and regulatory publications.
  • Maintaining up-to-date knowledge of regulatory requirements.
  • Preparing responses to enquiries from law enforcement and regulatory authorities.
  • Reviewing escalated screening and enforcement alerts.
  • Identifying data quality issues.
  • Reviewing marketing communications.
  • Supporting the compliance team with other ad hoc tasks and projects as they arise.

Qualifications and Skills:

  • A bachelor's degree in business, finance, or law (preferred).
  • A minimum of five years' experience in a risk or compliance role within a financial services organization, ideally banking or lending.
  • Relevant industry qualifications with respect to regulatory compliance, financial crime, and/or risk (desirable).
  • Strong verbal and written communication skills in English.
  • Strong knowledge of applicable UK legislation and regulations, particularly FCA rules.

Salary is up to £65,000 on the base.

Please contact me for more information.


Barclay Simpson is the leading international company in internal audit and corporate governance recruitment. We have offices in London and New York and recruit regionally for the UK, Europe, the Middle East and North America.

We handle both permanent and interim appointments in the following fields:

  • Internal & IT Audit
  • Risk Management
  • Compliance
  • Cyber Security
  • Corporate Security and Resilience
  • Financial Crime
  • Legal
  • Treasury

With our team of highly experienced internal audit recruitment consultants we are able to offer an unrivalled level of expertise to help internal auditors to build their careers.  Each team member is dedicated to specific internal audit disciplines, industry sectors and geographies so enabling them to offer an expert insight into the market, potential opportunities and career guidance.

Our clients cover all sectors of the economy, including banking and financial services, asset management, insurance, commerce and industry, professional services and not for profit. They value our service because we understand their business and through the high level of continuity of our consultants they have built long term relationships with us.

We are equally committed to building long-term relationships with our candidates, many of whom become clients, by providing sound career advice, based on our detailed knowledge of the unique nature of internal audit and corporate governance and what it takes to succeed within it.

Company info
Barclay Simpson
+44 (0) 20 7936 2601
Third Floor
20 Farringdon Street
United Kingdom

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