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To monitor and assess the adequacy and effectiveness of policies, procedures and associated controls designed to mitigate the risk of failure by the Bank to comply with its obligations under the regulatory system. To complete monitoring reviews in line with the approved deadlines.
To document monitoring review results in working papers.
To liaise with stakeholders to discuss findings and agree remediation actions.
To assist the Head of Compliance Monitoring in the preparation and submission of Compliance Monitoring MI and other ad-hoc tasks.
To assist more junior colleagues in developing their understanding of the Compliance Monitoring activity
Compliance Monitoring or Internal Audit background.
Good working knowledge of the FCA Handbook,
Financial markets and Banking activities and products.
Sound understanding of risks and controls.
Good awareness of conduct risk
Proven analytical and written presentation skills.
Financial market awareness and interest in current affairs(economic and political)