Financial Services Compliance Supervisor/quality

1 week ago


Horsham, United Kingdom Astral Recruitment Full time

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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