As Senior Compliance Monitoring Officer, you will be responsible for the end-to-end design and implementation of the Compliance Monitoring Framework. You will define the methodology, monitoring universe, risk-based planning approach and annual compliance monitoring plan.
A key part of the role is to ensure that the framework is proportionate to the size, nature and risk profile of the organisation, while meeting regulatory expectations. You will translate requirements from areas such as Wft, AML/CFT, sanctions and DNB guidance into practical monitoring activities, controls and test steps.
Alongside the framework design, you will also execute compliance monitoring activities, perform testing, document findings, report outcomes and follow up on remediation actions. In addition, you will support broader compliance BAU activities, including regulatory advisory, policy updates, incident assessment and input into SIRA and regulatory change processes.
Key responsibilities:
- Design and implement a risk-based Compliance Monitoring Framework from the ground up.
- Develop the annual Compliance Monitoring Plan, methodologies, procedures and templates.
- Translate regulatory requirements into monitorable controls and practical test steps.
- Execute monitoring activities, including planning, testing, documentation, reporting and follow-up.
- Assess control effectiveness, identify gaps and analyse root causes.
- Track remediation actions and validate closure.
- Maintain clear and auditable documentation.
- Support regulatory advisory, policy updates, incident assessment and compliance BAU activities.
- Contribute to SIRA and regulatory change implementation.
- Prepare high-quality reporting for senior management, risk and compliance committees and relevant stakeholders.
- Support alignment with internal governance, risk and control frameworks.