Senior Compliance Monitoring Officer

£60,000 - £70,000 + Bonus + Benefits

Central London

A small Investment banking Group is looking for an experienced Compliance Monitoring Officer to join their growing team in Central London office.

Reporting into the Head of Compliance, you will be supporting the Compliance function in ensuring that the business is adhering to all applicable policies and procedures, whilst also assisting in maintaining and updating risk assessments across the business and providing advice as required.

You must have at least 2 years' experience in a similar role, ideally within the Investment Banking arena. Competitive salary with discretionary bonuses and a wide range of employee benefits on offer.


  • Conduct Compliance Monitoring testing reviews.
  • Carry out regulatory testing.
  • Provide solutions for any weaknesses in the control framework, maintaining regulatory requirements.
  • Provide regulatory advice to the business with a thorough understanding of the Market Abuse Regime.
  • Keep up-to-date with FCA regulations and publications, determining their relevance to the firm and its operations.
  • Generate reports from monitoring reviews for senior management, including the risk and regulatory committee.
  • Provide training to the business when required.
  • Ad hoc compliance reviews and duties.
  • Maintaining Conflicts and Breaches registers.

Skills & Attributes:

You should possess all the following attributes and experience:

  • Ability to work both in a team and independently.
  • Demonstrate a proactive and innovative attitude to tasks.
  • Proven Compliance Monitoring experience.
  • Strong attention to detail.
  • Ability to communicate and interact with all levels of seniority within the firm.