Financial Services Compliance Supervisor/quality
1 week ago
Our client is a successful established Financial Services business and they are currently looking for an in house Compliance Officer to join the team
They will consider someone from a Financial Services background with a passion for compliance or an experienced Compliance Officer
**Main Duties and Responsibilities**:
To ensure adherence at all times to the suite of policy and procedures,
To provide support to the Compliance Manager by conducting Focused Audits
To conduct Induction, Monitoring, Investigation, Remedial and Exit Visits on Firms using pre-prepared check sheets
To review client files to confirm suitability and good consumer outcomes
Base circa £40000 dependent on experience
For more details call Jason at Astral
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