AR Compliance Monitoring Officer

Role Overview

• Deliver Second Line monitoring, testing, and oversight of ARs against regulatory and contractual requirements
• Conduct AR audits and assessments (virtual, onsite, and desk-based)
• Produce clear, insight-led monitoring reports with actionable recommendations
• Track findings through to resolution, ensuring accountability across the business
• Review and challenge First Line controls, identifying gaps and opportunities for improvement
• Support onboarding, ongoing oversight, and offboarding of ARs
• Assess AR compliance with Consumer Duty and Vulnerable Customer requirements
• Partner with Risk and Compliance teams to ensure identified risks are captured and managed effectively
• Provide guidance and challenge to internal stakeholders and external AR partners

Requirements

• Proven experience in AR oversight, compliance monitoring, or audit (Second Line preferred)
• Strong understanding of FCA regulation, particularly relating to Appointed Representatives
• Experience conducting compliance reviews, audits, or assurance activities
• Ability to confidently challenge stakeholders and influence outcomes
• Excellent written and verbal communication
• Strong attention to detail and analytical thinking
• Ability to manage multiple priorities and meet deadlines
• Confident presenting findings and recommendations
• Commercial awareness and a pragmatic approach to risk.

Benefits

• Perkbox from day 1!
• 26 days paid holidays plus bank holidays, +1 day leave for every years service up to 30 standard days.
• Health and fitness, private medical insurance
• Discounted travel insurance
• 5% matched pension, auto enrolment after 3 months.
• Up to 5% company bonus
• Fantastic team social events, including parties and on-site social Fridays.
• Up to 2 milestone gifts per year.
• A subsidised on site canteen and Costa Coffee in Northampton.
• We'll support you with costs if you're someone who likes to cycle to work.
• We are committed to supporting our community and offer 1 day of volunteering a year for every employee.
• Health Assured who provide mental wellbeing support can be accessed through Perkbox.
• With the option to work from anywhere, colleagues can enjoy the benefit of travelling to new destinations.